DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
L•••• S••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Feb 27, 2017 · 26 filings
SEC status approved since Mar 20, 2017
RAUM
$729M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$707M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$56.0M
derived; firm RAUM over IAPD count
Employees
22
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$729M as of Mar 30, 2026
Mar 16, 2018$85.6M then
HNW client RAUM$374M as of Mar 30, 2026
Mar 16, 2018$0 then
State-registered IARs (5.B.3)12 as of Mar 30, 2026
Mar 16, 20188 then
Employees (5.A)22 as of Mar 30, 2026
Mar 16, 201818 then
Private funds: no history
RAUM +22% over the last fiscal year+30% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $56.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $286,030derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $1.2BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$374M51%
- Individuals$333M46%
- Charitable organizations$19.8M2.7%
- Pension and profit-sharing plans$1.7M0.2%
- Individual clients
- 1,000reported
- HNW clients
- 166reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 2,547reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $623M sponsored, $623M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• S•••••• L•••• | Vestal, Ny | Oct 23, 2019 | 23 y | 0 |
| L•••••• S••••••• | Vestal, Ny | Apr 29, 2021 | 10 y | 0 |
| R••••• S•••• H•••••• | Vestal, Ny | May 9, 2021 | 42 y | 1 |
| K•••• M•••• S••••••• | Vestal, Ny | May 13, 2021 | 24 y | 0 |
| S•••••• W•••••• S•••• | Vestal, Ny | May 13, 2021 | 28 y | 0 |
| W•••••• C•••••• H•••••• | Vestal, Ny | May 13, 2021 | 21 y | 1 |
| R•••••• J•••• P••••••Certified Financial Planner | Vestal, Ny | Jun 30, 2022 | 26 y | 1 |
| B•••• S•••• S•••••Certified Financial Planner | Vestal, Ny | Nov 9, 2022 | 14 y | 0 |
| N••••• L•••••• | Vestal, Ny | Mar 8, 2023 | 10 y | 0 |
| R•••••• J• B••••• | Vestal, Ny | Apr 24, 2023 | 25 y | 2 |
| M••• M•••• | Vestal, Ny | Jul 6, 2023 | 13 y | 1 |
| J•••••• G•••• L•••• | Vestal, Ny | May 6, 2025 | 10 y | 0 |
| M•• A•• H•••••• | Vestal, Ny | Jun 17, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••• E•••••••• J•••••• to L•• F•••••••• L••Nov 15, 2022 · RIA to RIA
- R••• B•••• to P•••• S••••••••• L••Apr 4, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••• M•••• from E•••••••• A•••••••• L••Jul 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••••• J• B••••• from L•• F•••••••• L••Apr 24, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• W•••••• C•••••• · Treasurercontrolsince 02/2022 · owns less than 5%
- H••••••• R••••• S•••• · Vice Presidentcontrolsince 02/2022 · owns less than 5%
- L••••••• N••••• · General S••••••••• Principalcontrolsince 11/2021 · owns less than 5%
- L••••• G•••••• S•••••• · Ceo / Ccocontrolsince 02/2004 · owns less than 5%
- M••••••••• D•••• J•••• · Cfo / Finopcontrolsince 11/2005 · owns less than 5%
- P••••••• R•••••• J•••• · Secretarycontrolsince 02/2022 · owns less than 5%
- S•••••••• K•••• M•••• · Operations Managercontrolsince 12/2002 · owns less than 5%
- H••••••• W•••••• C•••••• · Treasurercontrolsince 02/2022 · owns F of L•••• Financial Services
- H••••••• R••••• S•••• · Vice Presidentcontrolsince 02/2022 · owns F of L•••• Financial Services
- L••••• G•••••• S•••••• · Presidentcontrolsince 02/2022 · owns F of L•••• F•••••••• S•••••••• I•••
- P••••••• R•••••• J•••• · Secretarycontrolsince 02/2022 · owns F of L•••• Financial Services
Entity owners
- L•••• F•••••••• S•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L•••• F•••••••• S•••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Vestal, Ny · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 2,313 to 2,547May 7, 2025 to Mar 30, 2026
- HNW clients · 116 to 166May 7, 2025 to Mar 30, 2026
- Individual clients · 963 to 1,000May 7, 2025 to Mar 30, 2026
- Employees · 20 to 22May 7, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 0May 7, 2025 to Mar 30, 2026
- HNW RAUM · $269M to $374MMay 7, 2025 to Mar 30, 2026
- Individual RAUM · $310M to $333MMay 7, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $597M to $729MMay 7, 2025 to Mar 30, 2026
- Pension RAUM · $0 to $1.7MMay 7, 2025 to Mar 30, 2026
- RAUM · $597M to $729MMay 7, 2025 to Mar 30, 2026
- Wrap assets (manager) · $511M to $623MMay 7, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $511M to $623MMay 7, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 13, 2025 to May 7, 2025
- Accounts · 2,097 to 2,313Jul 8, 2024 to Mar 13, 2025
- HNW clients · 86 to 116Jul 8, 2024 to Mar 13, 2025
- Individual clients · 846 to 963Jul 8, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 1-10Jul 8, 2024 to Mar 13, 2025
- HNW RAUM · $187M to $269MJul 8, 2024 to Mar 13, 2025
- Individual RAUM · $269M to $310MJul 8, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $474M to $597MJul 8, 2024 to Mar 13, 2025
- RAUM · $474M to $597MJul 8, 2024 to Mar 13, 2025
- Wrap assets (manager) · $403M to $511MJul 8, 2024 to Mar 13, 2025
- Wrap assets (sponsor) · $403M to $511MJul 8, 2024 to Mar 13, 2025
- Accounts · 1,625 to 2,097Mar 8, 2023 to Mar 7, 2024
- Advisory employees · 11 to 12Mar 8, 2023 to Mar 7, 2024
- BD registered reps · 10 to 12Mar 8, 2023 to Mar 7, 2024
- Charity clients · 6 to 5Mar 8, 2023 to Mar 7, 2024
- HNW clients · 135 to 86Mar 8, 2023 to Mar 7, 2024
- Individual clients · 633 to 846Mar 8, 2023 to Mar 7, 2024
- Pension plan clients · unset to 0.0Mar 8, 2023 to Mar 7, 2024
- Employees · 18 to 20Mar 8, 2023 to Mar 7, 2024
- State-registered IARs · 11 to 12Mar 8, 2023 to Mar 7, 2024
- HNW RAUM · $176M to $187MMar 8, 2023 to Mar 7, 2024
- Individual RAUM · $148M to $269MMar 8, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $332M to $474MMar 8, 2023 to Mar 7, 2024
- Pension RAUM · $1.5M to $0Mar 8, 2023 to Mar 7, 2024
- RAUM · $332M to $474MMar 8, 2023 to Mar 7, 2024
- Wrap assets (manager) · $312M to $403MMar 8, 2023 to Mar 7, 2024
- Wrap assets (sponsor) · $312M to $403MMar 8, 2023 to Mar 7, 2024
- Accounts · 1,405 to 1,625Sep 21, 2022 to Mar 8, 2023
Signals
12 dated events
- L•••• S••••••••• I••• reported RAUM $597.1M, up 26% from $474.0M (2024-07-08 to 2025-03-13)Mar 13, 2025 · RAUM change · derived
- L•••• S••••••••• I••• reported RAUM $474.0M, up 43% from $331.5M (2023-03-08 to 2024-03-07)Mar 7, 2024 · RAUM change · derived
- N••••• L•••••• (General Securities Principal) appeared on Schedule A of L•••• S••••••••• I•••Mar 8, 2023 · Control person joined · fact
- R••••• S•••• H•••••• (Vice President) appeared on Schedule A of L•••• S••••••••• I•••Mar 8, 2023 · Control person joined · fact
- W•••••• C•••••• H•••••• (Treasurer) appeared on Schedule A of L•••• S••••••••• I•••Mar 8, 2023 · Control person joined · fact
- R•••••• J•••• P•••••• (Secretary) appeared on Schedule A of L•••• S••••••••• I•••Mar 8, 2023 · Control person joined · fact
- Charles L•••• (President) no longer on Schedule A of L•••• S••••••••• I••• (listed 2022-09-21, absent 2023-03-08)Mar 8, 2023 · Control person left · inference
- Charles Jr L•••• (President And Treasurer) no longer on Schedule A of L•••• S••••••••• I••• (listed 2022-09-21, absent 2023-03-08)Mar 8, 2023 · Control person left · inference
- J••••• E•••••••• J•••••• left L•••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-21)Nov 15, 2022 · Advisor changed firm · fact
- R••• B•••• left L•••• S••••••••• I••• for P•••• S••••••••• L•• (registered 2022-04-11)Apr 4, 2022 · Advisor changed firm · fact
- L•••• S••••••••• I••• reported 12 state-registered advisory representatives, up from 0 (2021-03-26 to 2022-03-16)Mar 16, 2022 · Advisor headcount change · derived
- L•••• S••••••••• I••• filed its initial SEC registration (Form ADV)Feb 27, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-695-3756reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 607-724-2467reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 607-724-2421reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- L••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 607-724-2421reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- leskofinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- leskofinancial.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $56.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026