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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

L & S ADVISORS, INC

CRD 140923

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:74058e81-041e-cab1-1c3b-9c01fcf0d4f5

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 9
On other graphs: 0
Observed: Feb 7, 2012 to Sep 17, 2026
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.8 fund_share=0.0 institutional_share=0.09 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-09-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $935MderivedItem 5.D individuals plus high net worth individuals
Private client share: 80%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $96.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 15
Advisory employees: 9
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,095
Individual clients: 868
High net worth clients: 186
Custody, client assets: $130M
SEC number: 801-66849
CIK: 1392364
CRD: 140923
Filings on the tape: 43
First filed: Feb 7, 2012
Latest filed: Sep 17, 2026
Organised: Corporation, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
LIN-CHUN HEATHER LIU	n/a	LOS ANGELES, CA	18	18	n/a	no
RALPH RAYMOND SCOTT	n/a	LOS ANGELES, CA	18	47	2	no
SY RICHARD LIPPMAN	n/a	LOS ANGELES, CA	18	47	2	no
LEANNE KALLSTROM SINDELL	n/a	NAPA, CA \| LOS ANGELES, CA	14	15	n/a	no
CRAIG EUGENE WESTON	n/a	LOS ANGELES, CA	10	10	n/a	no
Jason Jay Scott	n/a	LOS ANGELES, CA	8	14	n/a	no
Debora Weston Nunez	n/a	LOS ANGELES, CA \| Centennial, CO	6	10	n/a	no
STEPHEN Seong SEO	Chartered Financial Analyst	LOS ANGELES, CA	3	13	1	no
OFER BEN-MENAHEM	n/a	Irvine, CA \| LOS ANGELES, CA	3	29	6	no
IAN KEONI MANONGDO	n/a	LOS ANGELES, CA	1	10	n/a	no
Edlyn Coral Ruiz	n/a	LOS ANGELES, CA	0	10	n/a	no
RYAN GARRETT BROUILLETTE	n/a	LOS ANGELES, CA	0	25	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Lippman, Helene, Brenda	TRUSTEE OF THE LIPPMAN FAMILY TRUST	C	yes	07/2015	Jun 26, 2026	Jun 26, 2026
LIPPMAN, SY, RICHARD	CEO, CFO, TRUSTEE OF THE LIPPMAN	C	yes	05/2006	Jun 26, 2026	Jun 26, 2026
MANONGDO, IAN, KEONI	CHIEF OPERATING OFFICER	Na	yes	05/2021	Jun 26, 2026	Jun 26, 2026
Scott, Jason, Jay	CHIEF COMPLIANCE OFFICER (SINCE	Na	yes	02/2020	Jun 26, 2026	Jun 26, 2026
SCOTT, RALPH, RAYMOND	EXECUTIVE VICE PRESIDENT, CIO, TRUSTEE OF THE THE SCOTT FAMILY TRUST	C	yes	05/2006	Jun 26, 2026	Jun 26, 2026
SEO, STEPHEN, Seong	President	Na	yes	02/2023	Jun 26, 2026	Jun 26, 2026
Scott, Phyllis, F.	TRUSTEE OF THE THE SCOTT FAMILY TRUST DATED JULY 27, 1987	C	yes	07/2015	May 23, 2016	Nov 11, 2024
THE LIPPMAN FAMILY TRUST DATED JANUARY 18, 1996	Shareholder	C	yes	07/2015	May 23, 2016	Nov 11, 2024
THE SCOTT FAMILY TRUST DATED JULY 27, 1987	Shareholder	C	yes	07/2015	May 23, 2016	Nov 11, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 14 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 20, 2026	$1.1B	$1.1B	15	15	2	n/a	n/a
2024	May 9, 2024	$1.0B	$1.0B	15	15	0	n/a	n/a
2023	Jun 28, 2023	$831M	$831M	17	17	0	n/a	n/a
2022	Jun 3, 2022	$939M	$931M	15	15	0	n/a	n/a
2021	Jun 23, 2021	$998M	$990M	17	17	0	n/a	n/a
2020	Jun 26, 2020	$711M	$705M	17	14	0	n/a	n/a
2019	Jun 13, 2019	$840M	$833M	18	14	0	n/a	n/a
2018	May 23, 2018	$805M	$797M	15	7	0	n/a	n/a
2017	Jun 2, 2017	$702M	$678M	13	11	n/a	n/a	n/a
2016	May 23, 2016	$517M	$497M	13	10	n/a	n/a	n/a
2015	Jun 3, 2015	$451M	$451M	11	8	n/a	n/a	n/a
2014	Jun 13, 2014	$330M	$330M	10	8	n/a	n/a	n/a
2013	Jun 7, 2013	$252M	$252M	10	3	n/a	n/a	n/a
2012	May 14, 2012	$238M	$237M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	2	-1	16.7%	1	0	0	1	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$1.0B	15.5%	$939M	7.4%	15	15	2	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AMERICANA PARTNERS, LLC	2	Mar 5, 2026	Mar 10, 2026	LOS ANGELES, CA	Team lift out	RIA to RIA	15.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RVW WEALTH LLC	2	May 15, 2023	Mar 21, 2023	LOS ANGELES, CA	Team lift out	RIA to RIA	33.3%

Relationships

Registered with (19)

← RYAN GARRETT BROUILLETTEAdvisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← Edlyn Coral RuizAdvisorregistration: current employment
Feb 19, 2026 to presentfactForm ADV
← IAN KEONI MANONGDOAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← OFER BEN-MENAHEMAdvisorregistration: current employment
Mar 21, 2023 to presentfactForm ADV
← STEPHEN Seong SEOAdvisorregistration: current employment
Feb 16, 2023 to presentfactForm ADV
← Debora Weston NunezAdvisorregistration: current employment
Feb 20, 2020 to presentfactForm ADV
← Jason Jay ScottAdvisorregistration: current employment
Aug 30, 2018 to presentfactForm ADV
← CRAIG EUGENE WESTONAdvisorregistration: current employment
Apr 5, 2016 to presentfactForm ADV
← LEANNE KALLSTROM SINDELLAdvisorregistration: current employment
Aug 14, 2012 to presentfactForm ADV
← RALPH RAYMOND SCOTTAdvisorregistration: current employment
Aug 1, 2008 to presentfactForm ADV
← SY RICHARD LIPPMANAdvisorregistration: current employment
Aug 1, 2008 to presentfactForm ADV
← LIN-CHUN HEATHER LIUAdvisorregistration: current employment
Jul 31, 2008 to presentfactForm ADV
← JORGE LUIS AMBRIZAdvisorregistration: previous registration
Nov 22, 2019 to Mar 5, 2026factForm ADV
← Matthew Aaron NussbaumAdvisorregistration: previous registration
Dec 6, 2017 to Mar 5, 2026factForm ADV
← Bennett Edward GrossAdvisorregistration: previous registration
Jun 3, 2016 to Dec 8, 2021factForm ADV
← Michael P AckermanAdvisorregistration: previous registration
Feb 3, 2017 to May 15, 2017factForm ADV
← Jonathan Scott DrubnerAdvisorregistration: previous registration
Jun 25, 2012 to Feb 6, 2017factForm ADV
← JORDAN MICHAEL FRIEDMANAdvisorregistration: previous registration
May 6, 2009 to Jan 11, 2016factForm ADV
← CHRISTINE WALKER MATTHEWAdvisorregistration: previous registration
Aug 3, 2011 to Apr 26, 2013factForm ADV

Moved with (2)

→ AMERICANA PARTNERS, LLCRegistered adviser2 advisors, team lift out, same day
Mar 5, 2026 to Mar 10, 2026factForm ADV
← RVW WEALTH LLCRegistered adviser2 advisors, team lift out, same day
May 15, 2023 to Mar 21, 2023factForm ADV

Controls (9)

← SCOTT, RALPH, RAYMONDOwnerEXECUTIVE VICE PRESIDENT, CIO, TRUSTEE OF THE THE SCOTT FAMILY TRUST DATED JULY 27, 1987, ownership code C, individual
Feb 7, 2012 to Nov 11, 2024factForm ADV
← LIPPMAN, SY, RICHARDOwnerCEO, CFO, TRUSTEE OF THE LIPPMAN FAMILY TRUST DATED JANUARY 18, 1996, ownership code C, individual
Feb 7, 2012 to Nov 11, 2024factForm ADV
← SEO, STEPHEN, SeongOwnerPRESIDENT, ownership code NA, individual
Feb 17, 2023 to Nov 11, 2024factForm ADV
← MANONGDO, IAN, KEONIOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jun 23, 2021 to Nov 11, 2024factForm ADV
← Lippman, Helene, BrendaOwnerTRUSTEE OF THE LIPPMAN FAMILY TRUST DATED JANUARY 18, 1996, ownership code C, individual
May 23, 2016 to Nov 11, 2024factForm ADV
← Scott, Phyllis, F.OwnerTRUSTEE OF THE THE SCOTT FAMILY TRUST DATED JULY 27, 1987, ownership code C, individual
May 23, 2016 to Nov 11, 2024factForm ADV
← Scott, Jason, JayOwnerCHIEF COMPLIANCE OFFICER (SINCE 02/2020), GENERAL COUNSEL (SINCE 02/2023), ownership code NA, individual
Feb 7, 2020 to Nov 11, 2024factForm ADV
← THE LIPPMAN FAMILY TRUST DATED JANUARY 18, 1996OwnerSHAREHOLDER, ownership code C, domestic entity
May 23, 2016 to Nov 11, 2024factForm ADV
← THE SCOTT FAMILY TRUST DATED JULY 27, 1987OwnerSHAREHOLDER, ownership code C, domestic entity
May 23, 2016 to Nov 11, 2024factForm ADV

Dated events

Occurred
Mar 5, 2026
Team lift-out
2 advisors left L & S Advisors, Inc (Los Angeles, CA) for Americana Partners, LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Mar 5, 2026
Advisor changed firm
Matthew Aaron Nussbaum left L & S Advisors, Inc for Americana Partners, Llc (registered 2026-03-05)
Form ADVobserved 6 days ago
Occurred
Mar 5, 2026
Advisor changed firm
Jorge Luis Ambriz left L & S Advisors, Inc for Americana Partners, Llc (registered 2026-03-10)
Form ADVobserved 6 days ago
Occurred
May 15, 2023
Team lift-out
2 advisors left Rvw Wealth LLC (Los Angeles, CA) for L & S Advisors, Inc on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Feb 17, 2023
Control person joined
Seong Stephen Seo (President) appeared on Schedule A of L & S Advisors, Inc
Form ADVobserved 6 days ago
Occurred
Dec 8, 2021
Control person left
Edward Bennett Gross (President) no longer on Schedule A of L & S Advisors, Inc (listed 2021-11-18, absent 2021-12-08)
Form ADVobserved 6 days ago
Occurred
Jun 23, 2021
Regulatory AUM changed
L & S Advisors, Inc reported RAUM $998.2M, up 40% from $710.9M (2020-06-26 to 2021-06-23)
Form ADVobserved 6 days ago
$287M
Occurred
Jun 23, 2021
Control person joined
Keoni Ian Manongdo (Chief Operating Officer) appeared on Schedule A of L & S Advisors, Inc
Form ADVobserved 6 days ago
Occurred
Feb 7, 2020
Control person joined
Jay Jason Scott (Chief Compliance Officer) appeared on Schedule A of L & S Advisors, Inc
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74058e81-041e-cab1-1c3b-9c01fcf0d4f5
First observed: Feb 7, 2012
Last observed: Sep 17, 2026 4 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

L & S ADVISORS, INC

CRD 140923

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:74058e81-041e-cab1-1c3b-9c01fcf0d4f5

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LIN-CHUN HEATHER LIU

n/a

LOS ANGELES, CA

n/a

RALPH RAYMOND SCOTT

n/a

LOS ANGELES, CA

SY RICHARD LIPPMAN

n/a

LOS ANGELES, CA

LEANNE KALLSTROM SINDELL

n/a

NAPA, CA | LOS ANGELES, CA

n/a

CRAIG EUGENE WESTON

n/a

LOS ANGELES, CA

n/a

Jason Jay Scott

n/a

LOS ANGELES, CA

n/a

Debora Weston Nunez

n/a

LOS ANGELES, CA | Centennial, CO

n/a

STEPHEN Seong SEO

Chartered Financial Analyst

LOS ANGELES, CA

OFER BEN-MENAHEM

n/a

Irvine, CA | LOS ANGELES, CA

IAN KEONI MANONGDO

n/a

LOS ANGELES, CA

n/a

Edlyn Coral Ruiz

n/a

LOS ANGELES, CA

n/a

RYAN GARRETT BROUILLETTE

n/a

LOS ANGELES, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Lippman, Helene, Brenda

TRUSTEE OF THE LIPPMAN FAMILY TRUST

yes

07/2015

Jun 26, 2026

LIPPMAN, SY, RICHARD

CEO, CFO, TRUSTEE OF THE LIPPMAN

yes

05/2006

Jun 26, 2026

MANONGDO, IAN, KEONI

CHIEF OPERATING OFFICER

yes

05/2021

Jun 26, 2026

Scott, Jason, Jay

CHIEF COMPLIANCE OFFICER (SINCE

yes

02/2020

Jun 26, 2026

SCOTT, RALPH, RAYMOND

EXECUTIVE VICE PRESIDENT, CIO, TRUSTEE OF THE THE SCOTT FAMILY TRUST

yes

05/2006

Jun 26, 2026

SEO, STEPHEN, Seong

President

yes

02/2023

Jun 26, 2026

Scott, Phyllis, F.

TRUSTEE OF THE THE SCOTT FAMILY TRUST DATED JULY 27, 1987

yes

07/2015

May 23, 2016

Nov 11, 2024

THE LIPPMAN FAMILY TRUST DATED JANUARY 18, 1996

Shareholder

yes

07/2015

May 23, 2016

Nov 11, 2024

THE SCOTT FAMILY TRUST DATED JULY 27, 1987

Shareholder

yes

07/2015

May 23, 2016

Nov 11, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 20, 2026

$1.1B

n/a

2024

May 9, 2024

$1.0B

n/a

2023

Jun 28, 2023

$831M

n/a

2022

Jun 3, 2022

$939M

$931M

n/a

2021

Jun 23, 2021

$998M

$990M

n/a

2020

Jun 26, 2020

$711M

$705M

n/a

2019

Jun 13, 2019

$840M

$833M

n/a

2018

May 23, 2018

$805M

$797M

n/a

2017

Jun 2, 2017

$702M

$678M

n/a

2016

May 23, 2016

$517M

$497M

n/a

2015

Jun 3, 2015

$451M

n/a

2014

Jun 13, 2014

$330M

n/a

2013

Jun 7, 2013

$252M

n/a

2012

May 14, 2012

$238M

$237M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

16.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$1.0B

15.5%

$939M

7.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AMERICANA PARTNERS, LLC

Mar 5, 2026

Mar 10, 2026

LOS ANGELES, CA

Team lift out

RIA to RIA

15.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RVW WEALTH LLC

May 15, 2023

Mar 21, 2023

LOS ANGELES, CA

Team lift out

RIA to RIA

33.3%