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.

Former SEC-registered adviser

Lau Associates LLC

Former SEC-registered adviserGreenville, DelawareCRD 105608SEC 801-24354IAPD
Latest filing Oct 29, 2019
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$650M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$650M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$650M as of Mar 27, 2019
Mar 30, 2012$510M then
HNW client RAUM$626M as of Mar 27, 2019
Mar 16, 2018$608M then
State-registered IARs (5.B.3)4 as of Mar 27, 2019
Mar 30, 20120 then
Employees (5.A)11 as of Mar 27, 2019
Mar 26, 201313 then
Private funds: no history
RAUM +2.0% over the last fiscal year+9.5% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Oct 29, 2019; every figure names its basis
RAUM per advisor
$108MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.5MderivedHNW RAUM over HNW clients
Average account
$4.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+2.0%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.3%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$315M, 105 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$626M96%
  • Individuals$24.0M3.7%
Individual clients
48reported
HNW clients
113reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
161reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$315M for 105 clientsreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Lea Lucinda Peterson · Chief Financial Officercontrol
      since 11/2008 · owns less than 5%
    • Michael Stephen Wellman · Chief Compliance Officercontrol
      since 07/2019 · owns less than 5%
    Entity owners
    • Bryn Mawr Bank Corporation · Sole Member
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    • Bryn Mawr Bank Corporation
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Berwyn, PA3 employees
    What changed
    consecutive filings, newest first
    • Employees · 8 to 7
      Jul 22, 2019 to Oct 29, 2019
    • State-registered IARs · 3 to 6
      Jul 22, 2019 to Oct 29, 2019
    • Advisory employees · 4 to 3
      Mar 27, 2019 to Jul 22, 2019
    • Employees · 11 to 8
      Mar 27, 2019 to Jul 22, 2019
    • State-registered IARs · 4 to 3
      Mar 27, 2019 to Jul 22, 2019
    • Employees · 13 to 11
      Mar 16, 2018 to Mar 27, 2019
    • State-registered IARs · 6 to 4
      Mar 16, 2018 to Mar 27, 2019
    • Accounts · 159 to 161
      Mar 16, 2018 to Mar 27, 2019
    • Advisory employees · 6 to 4
      Mar 16, 2018 to Mar 27, 2019
    • HNW clients · 105 to 113
      Mar 16, 2018 to Mar 27, 2019
    • Individual clients · 54 to 48
      Mar 16, 2018 to Mar 27, 2019
    • Assets in custody · $426M to $315M
      Mar 16, 2018 to Mar 27, 2019
    • Discretionary RAUM · $637M to $650M
      Mar 16, 2018 to Mar 27, 2019
    • HNW RAUM · $608M to $626M
      Mar 16, 2018 to Mar 27, 2019
    • Individual RAUM · $29.0M to $24.0M
      Mar 16, 2018 to Mar 27, 2019
    • RAUM · $637M to $650M
      Mar 16, 2018 to Mar 27, 2019
    • Accounts · 155 to 159
      Mar 29, 2017 to Mar 16, 2018
    • Advisory employees · 5 to 6
      Mar 29, 2017 to Mar 16, 2018
    • HNW clients · unset to 105.0
      Mar 29, 2017 to Mar 16, 2018
    • Individual clients · unset to 54.0
      Mar 29, 2017 to Mar 16, 2018
    • Assets in custody · $333M to $426M
      Mar 29, 2017 to Mar 16, 2018
    • State-registered IARs · 5 to 6
      Mar 29, 2017 to Mar 16, 2018
    • Other offices · unset to 1.0
      Mar 29, 2017 to Mar 16, 2018
    • Discretionary RAUM · $521M to $637M
      Mar 29, 2017 to Mar 16, 2018
    • HNW RAUM · unset to 608000000.0
      Mar 29, 2017 to Mar 16, 2018
    • Individual RAUM · unset to 29000000.0
      Mar 29, 2017 to Mar 16, 2018
    • RAUM · $521M to $637M
      Mar 29, 2017 to Mar 16, 2018
    • Accounts · 150 to 155
      Sep 29, 2016 to Mar 29, 2017
    • Assets in custody · $299M to $333M
      Sep 29, 2016 to Mar 29, 2017
    • Discretionary RAUM · $495M to $521M
      Sep 29, 2016 to Mar 29, 2017
    • RAUM · $495M to $521M
      Sep 29, 2016 to Mar 29, 2017
    • Accounts · 137 to 150
      Dec 10, 2015 to Mar 24, 2016
    • Advisory employees · 4 to 5
      Dec 10, 2015 to Mar 24, 2016
    • Assets in custody · $315M to $299M
      Dec 10, 2015 to Mar 24, 2016
    • Employees · 12 to 13
      Dec 10, 2015 to Mar 24, 2016
    • State-registered IARs · 4 to 5
      Dec 10, 2015 to Mar 24, 2016
    • Discretionary RAUM · $532M to $495M
      Dec 10, 2015 to Mar 24, 2016
    • RAUM · $532M to $495M
      Dec 10, 2015 to Mar 24, 2016
    • Accounts · 140 to 137
      Dec 19, 2014 to Mar 24, 2015
    • Assets in custody · $374M to $315M
      Dec 19, 2014 to Mar 24, 2015
    Signals
    5 dated events
    • Dorsey Jacob Weaver (President) no longer on Schedule A of Lau Associates Llc (listed 2019-07-22, absent 2019-10-29)
      Oct 29, 2019 · Control person left · inference
    • Michael Stephen Wellman (Chief Compliance Officer) appeared on Schedule A of Lau Associates Llc
      Jul 22, 2019 · Control person joined · fact
    • Martin Thomas Weary (Chief Investment Officer) no longer on Schedule A of Lau Associates Llc (listed 2019-03-27, absent 2019-07-22)
      Jul 22, 2019 · Control person left · inference
    • Davlin Laura Granger (Chief Compliance Officer) no longer on Schedule A of Lau Associates Llc (listed 2019-03-27, absent 2019-07-22)
      Jul 22, 2019 · Control person left · inference
    • Wisdom Judith Lau (Founder) no longer on Schedule A of Lau Associates Llc (listed 2018-03-16, absent 2019-03-27)
      Mar 27, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026