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

Moody, Lynn & Lieberson, LLC

Former SEC-registered adviserBoston, MassachusettsCRD 106000SEC 801-32571IAPD
Latest filing Mar 29, 2016
First filing on the tape Dec 14, 2011 · 9 filings
RAUM
$977M
reported, Item 5.F
Discretionary
100%
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
10
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$14.9M gross assets
History
9 filings and snapshots on the tape
RAUM$977M as of Mar 29, 2016
Mar 20, 2012$806M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 29, 2016
Mar 28, 20135 then
Employees (5.A)10 as of Mar 29, 2016
Mar 28, 20138 then
Private funds1 as of Mar 29, 2016
Mar 20, 20121 then
RAUM -3.7% over the last fiscal year+5.7% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
$163MderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.7%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
760reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    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
      • Alan Robert Lieberson · Membercontrol
        since 03/2000 · owns 10% to 25%
      • Worthington Martin Lynn · Membercontrol
        since 01/1991 · owns 25% to 50%
      • Macleod Michael Moody · Membercontrol
        since 08/1989 · owns 25% to 50%
      • Worthington Martin Lynn · Trusteecontrol
        since 12/2000 · owns 50% to 75% of Moody Lynn Business Trust
      • Macleod Michael Moody · Trusteecontrol
        since 12/2000 · owns 50% to 75% of Moody Lynn Business Trust
      • David Brian Gowell · Chief Compliance Officer
        since 10/2004 · owns less than 5%
      Entity owners
      • Moody Lynn Business Trust · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • Moody, Lynn & Lieberson Associates, LLC
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Carmel Valley, CA
      What changed
      consecutive filings, newest first
      • Accounts · 718 to 760
        Mar 9, 2016 to Mar 29, 2016
      • State-registered IARs · 5 to 6
        Mar 9, 2016 to Mar 29, 2016
      • Discretionary RAUM · $962M to $977M
        Mar 9, 2016 to Mar 29, 2016
      • RAUM · $962M to $977M
        Mar 9, 2016 to Mar 29, 2016
      • Succession · true to false
        Dec 2, 2015 to Mar 9, 2016
      • Accounts · 703 to 718
        Oct 28, 2015 to Dec 2, 2015
      • Advisory employees · 5 to 6
        Oct 28, 2015 to Dec 2, 2015
      • Business name · MOODY, LYNN & LIEBERSON, INC. to MOODY, LYNN & LIEBERSON, LLC
        Oct 28, 2015 to Dec 2, 2015
      • Legal name · MOODY, LYNN & LIEBERSON, INC. to MOODY, LYNN & LIEBERSON, LLC
        Oct 28, 2015 to Dec 2, 2015
      • Organization form · Corporation to Limited Liability Company
        Oct 28, 2015 to Dec 2, 2015
      • Discretionary RAUM · $1.0B to $962M
        Oct 28, 2015 to Dec 2, 2015
      • RAUM · $1.0B to $962M
        Oct 28, 2015 to Dec 2, 2015
      • Succession · false to true
        Oct 28, 2015 to Dec 2, 2015
      • Accounts · 690 to 703
        Mar 28, 2014 to Mar 30, 2015
      • Financial planning clients · 1-10 to 11-25
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $997M to $1.0B
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $997M to $1.0B
        Mar 28, 2014 to Mar 30, 2015
      • Accounts · 618 to 690
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 8 to 10
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $827M to $997M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $827M to $997M
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 600 to 618
        Mar 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 5.0
        Mar 20, 2012 to Mar 28, 2013
      • Advisory activities · 4 to 5
        Mar 20, 2012 to Mar 28, 2013
      • Business name · MOODY, LYNN & CO. to MOODY, LYNN & LIEBERSON, INC.
        Mar 20, 2012 to Mar 28, 2013
      • Employees · unset to 8.0
        Mar 20, 2012 to Mar 28, 2013
      • Financial planning clients · 0 to 1-10
        Mar 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 5.0
        Mar 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $806M to $827M
        Mar 20, 2012 to Mar 28, 2013
      • RAUM · $806M to $827M
        Mar 20, 2012 to Mar 28, 2013
      • Accounts · 607 to 600
        Dec 14, 2011 to Mar 20, 2012
      • Legal name · MOODY, LYNN & CO. to MOODY, LYNN & LIEBERSON, INC.
        Dec 14, 2011 to Mar 20, 2012
      • Discretionary RAUM · $840M to $806M
        Dec 14, 2011 to Mar 20, 2012
      • RAUM · $840M to $806M
        Dec 14, 2011 to Mar 20, 2012
      Signals
      1 dated events
      • Moody, Lynn & Lieberson, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 2, 2015 · Succession (Item 4) · fact
      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