DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••• I••••••••• C••••••
Legal name L••••••• W• K•••• • A••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 27, 2012 · 20 filings
SEC status approved since Aug 16, 1985
RAUM
$540M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$535M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$540M as of Mar 26, 2026
Mar 27, 2012$625M then
HNW client RAUM$526M as of Mar 26, 2026
Mar 26, 2018$719M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Mar 26, 2026
Mar 26, 20136 then
Private funds: no history
RAUM +1.8% over the last fiscal year+7.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $6.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- 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$526M97%
- Individuals$9.8M1.8%
- Charitable organizations$4.7M0.9%
- Individual clients
- 17reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 83reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• J• W••••Chartered Financial Analyst | Pasadena, Ca | Apr 5, 2005 | 31 y | 1 |
| M•••••• C••• S••••••Chartered Financial Analyst | Pasadena, Ca | Jan 4, 2011 | 24 y | 3 |
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
- M•••••• C••• S•••••• from M••••• S••••••Jan 4, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M••••••• C••• · Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- W••••• N•••••••• J• · Chief Executive Officer, Director And Shareholdercontrolsince 10/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 86 to 83Mar 26, 2025 to Mar 26, 2026
- HNW clients · 63 to 61Mar 26, 2025 to Mar 26, 2026
- Individual clients · 18 to 17Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $530M to $540MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $514M to $526MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $10.2M to $9.8MMar 26, 2025 to Mar 26, 2026
- RAUM · $530M to $540MMar 26, 2025 to Mar 26, 2026
- RAUM · $510M to $530MMar 29, 2024 to Mar 26, 2025
- Accounts · 88 to 86Mar 29, 2024 to Mar 26, 2025
- HNW clients · 68 to 63Mar 29, 2024 to Mar 26, 2025
- Individual clients · 15 to 18Mar 29, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $510M to $530MMar 29, 2024 to Mar 26, 2025
- HNW RAUM · $496M to $514MMar 29, 2024 to Mar 26, 2025
- Individual RAUM · $8.1M to $10.2MMar 29, 2024 to Mar 26, 2025
- Accounts · 90 to 88Mar 29, 2023 to Mar 29, 2024
- HNW clients · 72 to 68Mar 29, 2023 to Mar 29, 2024
- Individual clients · 13 to 15Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $441M to $510MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $429M to $496MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $5.9M to $8.1MMar 29, 2023 to Mar 29, 2024
- RAUM · $441M to $510MMar 29, 2023 to Mar 29, 2024
- Accounts · 84 to 90Mar 31, 2022 to Mar 29, 2023
- Advisory employees · 3 to 2Mar 31, 2022 to Mar 29, 2023
- HNW clients · 64 to 72Mar 31, 2022 to Mar 29, 2023
- Individual clients · 15 to 13Mar 31, 2022 to Mar 29, 2023
- Employees · 6 to 5Mar 31, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 2Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $610M to $441MMar 31, 2022 to Mar 29, 2023
- HNW RAUM · $595M to $429MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $7.2M to $5.9MMar 31, 2022 to Mar 29, 2023
- RAUM · $610M to $441MMar 31, 2022 to Mar 29, 2023
- Accounts · 81 to 84Mar 31, 2021 to Mar 31, 2022
- HNW clients · 60 to 64Mar 31, 2021 to Mar 31, 2022
- Individual clients · 16 to 15Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $509M to $610MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $495M to $595MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $6.5M to $7.2MMar 31, 2021 to Mar 31, 2022
- RAUM · $509M to $610MMar 31, 2021 to Mar 31, 2022
- Accounts · 79 to 81Jun 30, 2020 to Mar 31, 2021
Signals
4 dated events
- L••• I••••••••• C•••••• reported RAUM $440.6M, down 28% from $609.8M (2022-03-31 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- L••• I••••••••• C•••••• reported RAUM $508.5M, down 45% from $929.2M (2020-06-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Wayne Lawrence Kelly (Chairman, Director) no longer on Schedule A of L••• I••••••••• C•••••• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- L••• I••••••••• C•••••• reported RAUM $932.2M, up 28% from $727.1M (2018-03-26 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
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
- 626-449-9500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 626-449-9566reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 626/449-9500reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- l•••••••••.comreportedpublished 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
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026