DFX Intelligence
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SEC-registered adviser
L••••• F•••••••• • E••••••• A••••••• S•••••••
Legal name L••••• K•••••• E••••• D•
Latest filing Feb 25, 2026
First filing on the tape Feb 2, 2012 · 15 filings
SEC status approved since Dec 12, 1985
RAUM
$286M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$286M as of Feb 25, 2026
Mar 19, 2018$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 25, 2026
Mar 4, 20130 then
Employees (5.A)1 as of Feb 25, 2026
Mar 4, 20131 then
Private funds: no history
RAUM -5.1% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $31.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$286M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
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
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•••••• K••••••• E••••• · Managing Director & Chief Compliance Officercontrolsince 12/1985 · owns 75% or more
Related persons
Schedule D 7.A
- D•• K•••••• E• L•••••investment companyy
Offices
Schedule D 1.F, the 25 largest
- Houston, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 25, 2026discretionary share of RAUM of 0% against a peer median of 100% (108 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $100M to $500M (108) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 9Feb 20, 2025 to Feb 25, 2026
- Pension plan clients · 10 to 9Feb 20, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $302M to $286MFeb 20, 2025 to Feb 25, 2026
- Pension RAUM · $302M to $286MFeb 20, 2025 to Feb 25, 2026
- RAUM · $302M to $286MFeb 20, 2025 to Feb 25, 2026
- Accounts · 15 to 10Mar 18, 2024 to Feb 20, 2025
- Pension plan clients · 15 to 10Mar 18, 2024 to Feb 20, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $231M to $302MMar 18, 2024 to Feb 20, 2025
- Pension RAUM · $231M to $302MMar 18, 2024 to Feb 20, 2025
- RAUM · $231M to $302MMar 18, 2024 to Feb 20, 2025
- Accounts · 11 to 15Mar 7, 2023 to Mar 18, 2024
- Pension plan clients · 11 to 15Mar 7, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $232M to $231MMar 7, 2023 to Mar 18, 2024
- Pension RAUM · $232M to $231MMar 7, 2023 to Mar 18, 2024
- RAUM · $232M to $231MMar 7, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $240M to $232MMar 17, 2022 to Mar 7, 2023
- Pension RAUM · $240M to $232MMar 17, 2022 to Mar 7, 2023
- RAUM · $240M to $232MMar 17, 2022 to Mar 7, 2023
- Accounts · 12 to 11Mar 22, 2021 to Mar 17, 2022
- Pension plan clients · 12 to 11Mar 22, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $260M to $240MMar 22, 2021 to Mar 17, 2022
- Pension RAUM · $260M to $240MMar 22, 2021 to Mar 17, 2022
- RAUM · $260M to $240MMar 22, 2021 to Mar 17, 2022
- Accounts · 4 to 12Mar 25, 2020 to Mar 22, 2021
- Pension plan clients · 4 to 12Mar 25, 2020 to Mar 22, 2021
- Non-discretionary RAUM · $275M to $260MMar 25, 2020 to Mar 22, 2021
- Pension RAUM · $275M to $260MMar 25, 2020 to Mar 22, 2021
- RAUM · $275M to $260MMar 25, 2020 to Mar 22, 2021
- Accounts · unset to 4.0Mar 17, 2017 to Mar 19, 2018
- Advisory activities · 2 to 1Mar 17, 2017 to Mar 19, 2018
- Pension plan clients · unset to 4.0Mar 17, 2017 to Mar 19, 2018
- Other offices · unset to 1.0Mar 17, 2017 to Mar 19, 2018
- Discretionary RAUM · unset to 0.0Mar 17, 2017 to Mar 19, 2018
- Non-discretionary RAUM · unset to 275000000.0Mar 17, 2017 to Mar 19, 2018
- Pension RAUM · unset to 275000000.0Mar 17, 2017 to Mar 19, 2018
- RAUM · unset to 275000000.0Mar 17, 2017 to Mar 19, 2018
- Advisory employees · unset to 1.0Feb 2, 2012 to Mar 4, 2013
- Employees · unset to 1.0Feb 2, 2012 to Mar 4, 2013
- State-registered IARs · unset to 0.0Feb 2, 2012 to Mar 4, 2013
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
- Website
- w••.l•••••••••.comreportedpublic record, Form ADV, Feb 25, 2026
- Principal office phone
- 713-626-8184reportedpublic record, Form ADV, Feb 25, 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
- Institutional managerderiveda 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