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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

L• A••••••• L••

CRD 153940

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:9bb7c284-2d16-4ec8-1341-1ae277411247

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 4
On other graphs: 1
Observed: Feb 21, 2012 to Mar 30, 2026
24 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

L• A••••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.03 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.9BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.9B
Private client RAUM: $2.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

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
J••••••• L••••• C••••••••	Chartered Financial Analyst	SAN DIEGO, CA	3	30	10	no
Y••• B•••	n/a	SAN DIEGO, CA	2	11

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•• B••••••• S••••••••• P••••••••	Other Private Fund	$76.7M	Mar 30, 2026	73	Mar 31, 2017	reported	n/a

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
C••••••••• J•••••••• L•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 30, 2026	Mar 30, 2026
M•••••• L•••	MANAGING MEMBER	Na	yes	01/2011	Mar 30, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L• C•••••• G••••• L••	n/a	Institutional manager	$6.1B	N	no	n/a
L•• V••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
MEXICO CITY	n/a	Mexico	1	no

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

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

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
0	0	0	0.0%	0	0	0	1	0

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	$2.9B	$2.3B	24.9%	$2.0B	12.6%	22	21	1	1

Relationships

Affiliated with (1)

→ L• C•••••• G••••• L••Registered adviserother investment adviser
factForm ADV

Registered with (5)

← A•••••• A••••Advisorregistration: current employment
Jun 9, 2025 to presentfactForm ADV
← L••• M•••••Advisorregistration: current employment
Jul 29, 2024 to presentfactForm ADV
← L••••••• S••••••

Dated events

Occurred
Mar 24, 2023
Control person joined
Lesley Jonathan Chatfield (Chief Compliance Officer) appeared on Schedule A of L• A••••••• L••
Form ADVobserved 6 days ago
Occurred
Mar 24, 2023
Control person left
Tobias Gorodzinsky (Chief Compliance Officer) no longer on Schedule A of L• A••••••• L•• (listed 2022-06-02, absent 2023-03-24)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Control person joined
Sally Maizel (Trustee) appeared on Schedule A of L• A••••••• L••
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9bb7c284-2d16-4ec8-1341-1ae277411247
First observed: Feb 21, 2012
Last observed: Mar 30, 2026 5 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.