DFX Intelligence

L•• W••••• A••••••• O• C•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

L•• W••••• A••••••• O• C•••••••• I•••

CRD 168480

BASKING RIDGE, NJ

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Search this name across graphsid dfx:ria:762141d8-0272-88f5-b8d1-2e1f61bd4a79

Data as of Feb 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 29, 2013 to Feb 27, 2019
20 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $30.3M••• Locked
Discretionary RAUM: $26.2M
Private client RAUM: $30.3Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• L••••• A••••	PRESIDENT AND CCO	E	yes	06/2013	Jul 29, 2013	Feb 27, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• W••••• A•••••••• I•••	n/a	Former SEC adviser	$549M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Edwards	Co	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$30.3M	$27.2M	11.3%	$17.2M	20.6%	2	1	1	1

Relationships

Affiliated with (1)

→ L•• W••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← L•••••• L••••• A••••OwnerPRESIDENT AND CCO, ownership code E, individual
Jul 29, 2013 to presentfactForm ADV

Registered with (1)

← G•••• C••••Advisorregistration: previous registration
Nov 1, 2013 to Jul 1, 2019factForm ADV

Dated events

Occurred
Jul 29, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:762141d8-0272-88f5-b8d1-2e1f61bd4a79
First observed: Jul 29, 2013
Last observed: Feb 27, 2019 92 months 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.