DFX Intelligence

R••••• 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 adviserindependent wealth managerSEC registeredRAUM under $100M

R••••• L••

CRD 285598

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:bbaa4801-39cf-47a6-f699-c5bea484c046

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Apr 12, 2022 to Mar 25, 2026
9 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=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $74.2M••• Locked
Discretionary RAUM: $70.8M
Private client RAUM: $57.3Mderived••• Locked
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $18.6Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• A•••••••• L••	Owner	C	yes	12/2022	Mar 21, 2024	Mar 21, 2024
F•••••• P•••• B••••	FOUNDER AND CHIEF EXECUTIVE OFFICER	C	yes	01/2014	Apr 12, 2022	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••••••• P•••••••• L••	n/a	Independent wealth	$115M	Y	no	n/a
A•• A•••••••• L••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	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	$74.2M	$67.6M	9.8%	$39.0M	23.9%	5	6	0	0

Relationships

Registered with (5)

← L••••• D•••••• C••••••••Advisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← P••• B•••• F•••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← H••••• M••••• W•••••Advisorregistration: current employment
Jun 11, 2025 to presentfactForm ADV
← R••••• F•••••• L••••

Dated events

Occurred
Mar 25, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Apr 12, 2022
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbaa4801-39cf-47a6-f699-c5bea484c046
First observed: Apr 12, 2022
Last observed: Mar 25, 2026 6 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.