DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM under $100M

L••• C•••••• M••••••••• L••

CRD 111311

PITTSFORD, NY

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Data as of Aug 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 4
On other graphs: 0
Observed: Mar 2, 2012 to Aug 14, 2026
26 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 managerderived••• Locked
Regulatory AUM: $94.8M••• Locked
Discretionary RAUM: $93.9M
Private client RAUM: $87.8Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $47.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••••• C•••• L•••	Chartered Financial Analyst	PITTSFORD, NY	13	32	n/a	no
J••• N••••• C•••• L•••	Chartered Financial Analyst	Schererville, IN	3	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• D•••••••• C••••	President	E	yes	03/1994	Mar 2, 2012	Feb 18, 2024
L•••• K•••••••• M•	CHIEF COMPLIANCE OFFICER	Na	yes	03/2006	Mar 2, 2012	Feb 18, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sarasota	FL	United States	2	no
Schererville	In	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$94.8M	$87.6M	8.2%	$76.1M	7.6%	3	3	2	2

Relationships

Registered with (2)

← J••• N••••• C•••• L•••Advisorregistration: current employment
Apr 26, 2023 to presentfactForm ADV
← D••••••• C•••• L•••Advisorregistration: current employment
Sep 26, 2012 to presentfactForm ADV

Controls (2)

← L•••• D•••••••• C••••OwnerPRESIDENT, ownership code E, individual
Mar 2, 2012 to Feb 18, 2024factForm ADV
← L•••• K•••••••• M•

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
14 Aug 2026
Ria majority owner change
••• Locked
Form ADV
Occurred
14 Aug 2026
Ria ownership band change
••• Locked
Form ADV
Occurred
14 Aug 2026
Ria principal change
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Aug 14, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 2, 2012
Last observed: Aug 14, 2026 41 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 18, 2016	$52.5M	$51.6M	2	1	n/a	n/a	n/a
2014	Mar 12, 2015	$50.9M	$49.9M	2	1	n/a	n/a	n/a
2013	Mar 20, 2014	$42.6M	$42.6M	2	1	n/a	n/a	n/a
2012	Jan 29, 2013	$35.8M	$35.8M	2	1	n/a	n/a	n/a