DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

L•••••• I••••••••• A••••••• L••

CRD 328463

DALLAS, TX

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:a33a24ba-085c-6d44-b86c-671112545698

Data as of Jan 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 2
On other graphs: 0
Observed: Nov 20, 2023 to Jan 31, 2025
4 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: $0Item 5.F on the latest filing (2025-01-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 6
Advisory employees: 6
Offices

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
B••••••••• S••••• M•••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Nov 20, 2023	Mar 28, 2024
C••••• J••••• D•••••	SOLE MEMBER	E	yes	03/2005	Nov 20, 2023

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•••••• A••••••• G••••• L••	n/a	INSTITUTIONAL_M••••••	$3.2B	N	yes	n/a
L•••••• I••••••••• M••••••• L••	n/a	n/a	n/a	N	yes	n/a

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
2024	Jan 31, 2025	$0	$0	6	6	0	n/a	n/a
2023

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
2024	$0	n/a	n/a	n/a	n/a	6	6	0	0

Relationships

Affiliated with (3)

← L•••••• A••••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV
← L•• R••••• A••••••• I• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•••••• A••••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (18)

← F•••••••• S••••••• N••Owner

Dated events

Occurred
May 2, 2025
Left the SEC roster
L•••••• I••••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06)
Form ADVobserved 7 days ago
0 USD_RAUM
Occurred
Nov 20, 2023
First Form ADV filing
L•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a33a24ba-085c-6d44-b86c-671112545698
First observed: Nov 20, 2023
Last observed: Jan 31, 2025 19 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.