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••• C•••••• M••••••••• I•••
Latest filing May 28, 2026
First filing on the tape Mar 22, 2012 · 29 filings
SEC status approved since Oct 30, 1967
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$110M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.3M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$112M as of May 28, 2026
Mar 22, 2012$102M then
HNW client RAUM$14.2M as of May 28, 2026
Feb 7, 2018$37.4M then
State-registered IARs (5.B.3)3 as of May 28, 2026
Mar 28, 20130 then
Employees (5.A)8 as of May 28, 2026
Mar 28, 201320 then
Private funds: no history
RAUM +17% over the last fiscal year+10% a year over threeIARs 2 to 3offices 2 to 3
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $37.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $406,775derivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$95.9M86%
- High-net-worth individuals$14.2M13%
- Pension and profit-sharing plans$1.8M1.6%
- Individual clients
- 25reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 98reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• L•• L••• | New York, Ny | Jun 19, 2006 | 32 y | 0 |
| K••• C••• | New York, Ny | Nov 24, 2018 | 18 y | 0 |
| S••• W•••••• P••••• | Quincy, Ma | Mar 3, 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• D••••• A••••• · Vice President/Sec/Directorcontrolsince 08/1984 · owns 50% to 75%
- L•••• S••••••• L•• · Chief Executive Officer/Director/Chief Compliance Officercontrolsince 08/1984 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Brooklyn, NY1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 83.0% to 13.0% between the annual amendments of 2025-02-05 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 3, 2026 to May 28, 2026
- Employees · 7 to 8Mar 3, 2026 to May 28, 2026
- State-registered IARs · 2 to 3Mar 3, 2026 to May 28, 2026
- Other offices · 2 to 3Feb 10, 2026 to Mar 3, 2026
- Accounts · 103 to 98Feb 5, 2025 to Feb 10, 2026
- HNW clients · 22 to 35Feb 5, 2025 to Feb 10, 2026
- Individual clients · 36 to 25Feb 5, 2025 to Feb 10, 2026
- Employees · 6 to 7Feb 5, 2025 to Feb 10, 2026
- Discretionary RAUM · $93.7M to $112MFeb 5, 2025 to Feb 10, 2026
- HNW RAUM · $79.6M to $14.2MFeb 5, 2025 to Feb 10, 2026
- Individual RAUM · $15.0M to $95.9MFeb 5, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $2.1M to $0Feb 5, 2025 to Feb 10, 2026
- Pension RAUM · $1.3M to $1.8MFeb 5, 2025 to Feb 10, 2026
- RAUM · $95.8M to $112MFeb 5, 2025 to Feb 10, 2026
- Financial planning clients · unset to Jan 14, 2025 to Feb 5, 2025
- Accounts · 108 to 103Feb 12, 2024 to Jan 14, 2025
- HNW clients · 21 to 22Feb 12, 2024 to Jan 14, 2025
- Individual clients · 39 to 36Feb 12, 2024 to Jan 14, 2025
- Discretionary RAUM · $86.6M to $93.7MFeb 12, 2024 to Jan 14, 2025
- HNW RAUM · $75.4M to $79.6MFeb 12, 2024 to Jan 14, 2025
- Individual RAUM · $15.7M to $15.0MFeb 12, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $5.6M to $2.1MFeb 12, 2024 to Jan 14, 2025
- Pension RAUM · $1.1M to $1.3MFeb 12, 2024 to Jan 14, 2025
- RAUM · $92.2M to $95.8MFeb 12, 2024 to Jan 14, 2025
- HNW clients · 22 to 21Aug 18, 2023 to Feb 12, 2024
- Individual clients · 41 to 39Aug 18, 2023 to Feb 12, 2024
- Other offices · 1 to 2Aug 18, 2023 to Feb 12, 2024
- Discretionary RAUM · $83.7M to $86.6MAug 18, 2023 to Feb 12, 2024
- HNW RAUM · $66.8M to $75.4MAug 18, 2023 to Feb 12, 2024
- Individual RAUM · $15.9M to $15.7MAug 18, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $0 to $5.6MAug 18, 2023 to Feb 12, 2024
- Pension RAUM · $959,694 to $1.1MAug 18, 2023 to Feb 12, 2024
- RAUM · $83.7M to $92.2MAug 18, 2023 to Feb 12, 2024
- Individual clients · 43 to 41Feb 9, 2022 to Feb 1, 2023
- Discretionary RAUM · $89.0M to $83.7MFeb 9, 2022 to Feb 1, 2023
- HNW RAUM · $69.7M to $66.8MFeb 9, 2022 to Feb 1, 2023
- Individual RAUM · $18.4M to $15.9MFeb 9, 2022 to Feb 1, 2023
- Pension RAUM · $1.0M to $959,694Feb 9, 2022 to Feb 1, 2023
- RAUM · $89.0M to $83.7MFeb 9, 2022 to Feb 1, 2023
- Accounts · 104 to 108Feb 16, 2021 to Feb 9, 2022
Signals
No event on the tape.
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
- 212-653-1504reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- leeb.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-653-1504reportedpublic record, Form ADV, May 28, 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
- $37.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026