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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Former SEC-registered adviser
L•••••• W••••• A•••••••• L••
Latest filing Jun 24, 2022
First filing on the tape Mar 30, 2012 · 34 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
94%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.8B as of Jan 16, 2022
Mar 30, 2012$961M then
HNW client RAUM$1.5B as of Jan 16, 2022
Mar 27, 2018$1.3B then
State-registered IARs (5.B.3)10 as of Jan 16, 2022
Mar 30, 20120 then
Employees (5.A)14 as of Jan 16, 2022
Mar 27, 201318 then
Private funds: no history
RAUM +17% over the last fiscal year+9.0% a year over threeIARs 7 to 10offices 2 to 5
Practice profile
derived from the filing of Jun 24, 2022; every figure names its basis
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $839,236derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +43%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.1B, 475 clientsreportedItem 9.A
- 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)
- 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$1.5B87%
- Individuals$133M7.6%
- Corporations and businesses$47.1M2.7%
- Charitable organizations$35.8M2.0%
- Pension and profit-sharing plans$18.2M1.0%
- Individual clients
- 268reported
- HNW clients
- 471reported
- Pension plan clients
- 7reported
- Charitable clients
- 11reported
- Accounts
- 2,090reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 475 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• G••••• B•••••••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- S••••••• O•••• H••••••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- R•••••• M•••••• P•••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- R•••••• P•••••• M•••••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- D••• E•••••••• C•••••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- A•••••• A••••• V••••••••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- J••••••• C••• F••••••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- A••••• E••••••••• S•••• to P•••• C•••••• F••••••••Dec 16, 2022 · RIA to RIA
- S••••• B•••••••• to I•• W••••• M••••••••• L••Jul 27, 2021 · RIA to RIA
- M•••••• S•••••• N••••• to V•••••• F•••••••• S••••••• L••Mar 8, 2021 · RIA to RIA
- B•••••• C••••• to M••••• P•••••• W•••••• L••Jan 25, 2021 · RIA to a newly registered adviser
- C•••• C•••••• G••••• to L•••Dec 4, 2020 · RIA to RIA
- A•••••• R••••• W••••• to O••••• I••••••••• A••••••• L••Nov 16, 2020 · RIA to a newly registered adviser
- L•••••• F•••• N•••• to E•••••• F•••••••• S•••••••• L••Feb 23, 2017 · Other
- M•••••• D•••• R••• to M••••••• C•••••• M••••••••• L••Jan 31, 2017 · Other
Joined, latest
- D••• E•••••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 21, 2021 · Wirehouse to independent RIA
- D••••• G••••• B•••••••• from V••••••• A•••••••• I•••Feb 1, 2021 · Other
- S••••••• O•••• H••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 8, 2020 · Wirehouse to independent RIA
- B•••••• C••••• from P••••• M•••• F•••••••• A•••••••Feb 25, 2019 · Other
- L•••••• F•••• N•••• from L••• F•••••••• A•••••••May 31, 2016 · Other
- M•••••• D•••• R••• from B•••• W••••• M••••••••• L••Mar 30, 2016 · Other
- S••••• B•••••••• from P•• W••••• M•••••••••Mar 30, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for P•••• C•••••• F••••••••Dec 16, 2022 · Naples, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• D•••••• G••••• · Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- B•••••••• J•••• R••••• · President And Chief Compliance Officercontrolsince 04/2016 · owns less than 5%
- G••••••• J••••• S•••• · Chairman And Chief Executive Officercontrolsince 12/2017 · owns less than 5%
- G••••••• J••••• S•••• · Trusteecontrolsince 06/1••• · owns 75% or more of J•••• S• G•••••• 1••• R•••••••• T••••
Entity owners
- L•••••• P• H•••••••• L•• · Memberdirect · owns 75% or more
- J•••• S• G•••••• 1••• R•••••••• T•••• · Memberindirect · owns 75% or more of L•••••• P• H•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list L•••••• W••••• A•••••••• L•• as a related person
- 161997 n
Offices
Schedule D 1.F, the 25 largest
- Royal Oak, MI5 employees
- Stamford, CT2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Business name · P•••••••• S•••••••• L•• to L•••••• W••••• A••••••• L••Jan 18, 2022 to Jan 26, 2022
- Legal name · L•••••• W••••• A•••••••• L•• to L•••••• W••••• A••••••• L••Jan 18, 2022 to Jan 26, 2022
- Business name · L•••••• W••••• A••••••• L•• to L•••••• W••••• A•••••••• L••Jan 26, 2022 to Jan 26, 2022
- Legal name · L•••••• W••••• A••••••• L•• to L•••••• W••••• A•••••••• L••Jan 26, 2022 to Jan 26, 2022
- Legal name · P•••••••• S•••••••• L•• to L•••••• W••••• A•••••••• L••Jan 16, 2022 to Jan 18, 2022
- Accounts · 1,769 to 2,090Sep 3, 2021 to Jan 16, 2022
- Advisory employees · 7 to 9Sep 3, 2021 to Jan 16, 2022
- Charity clients · 9 to 11Sep 3, 2021 to Jan 16, 2022
- Corporate clients · 7 to 11Sep 3, 2021 to Jan 16, 2022
- HNW clients · 416 to 471Sep 3, 2021 to Jan 16, 2022
- Individual clients · 145 to 268Sep 3, 2021 to Jan 16, 2022
- Pension plan clients · 6 to 7Sep 3, 2021 to Jan 16, 2022
- Assets in custody · $1.1B to $1.1BSep 3, 2021 to Jan 16, 2022
- Employees · 13 to 14Sep 3, 2021 to Jan 16, 2022
- HQ city · ROYAL OAK to NAPLESSep 3, 2021 to Jan 16, 2022
- HQ state · MI to FLSep 3, 2021 to Jan 16, 2022
- State-registered IARs · 7 to 10Sep 3, 2021 to Jan 16, 2022
- Other offices · 2 to 5Sep 3, 2021 to Jan 16, 2022
- Discretionary RAUM · $1.5B to $1.6BSep 3, 2021 to Jan 16, 2022
- HNW RAUM · $1.3B to $1.5BSep 3, 2021 to Jan 16, 2022
- Individual RAUM · $85.2M to $133MSep 3, 2021 to Jan 16, 2022
- Non-discretionary RAUM · $0 to $160MSep 3, 2021 to Jan 16, 2022
- Pension RAUM · $19.7M to $18.2MSep 3, 2021 to Jan 16, 2022
- RAUM · $1.5B to $1.8BSep 3, 2021 to Jan 16, 2022
- Related adviser · true to falseSep 3, 2021 to Jan 16, 2022
- HQ city · TROY to ROYAL OAKMar 31, 2021 to Sep 3, 2021
- Accounts · 1,728 to 1,769Nov 24, 2020 to Mar 31, 2021
- Charity clients · 17 to 9Nov 24, 2020 to Mar 31, 2021
- Corporate clients · 11 to 7Nov 24, 2020 to Mar 31, 2021
- HNW clients · 407 to 416Nov 24, 2020 to Mar 31, 2021
- Individual clients · 141 to 145Nov 24, 2020 to Mar 31, 2021
- Pension plan clients · 16 to 6Nov 24, 2020 to Mar 31, 2021
- Assets in custody · $1.4B to $1.1BNov 24, 2020 to Mar 31, 2021
- Employees · 14 to 13Nov 24, 2020 to Mar 31, 2021
- Other offices · 1 to 2Nov 24, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.4B to $1.5BNov 24, 2020 to Mar 31, 2021
- HNW RAUM · $1.3B to $1.3BNov 24, 2020 to Mar 31, 2021
- Individual RAUM · $101M to $85.2MNov 24, 2020 to Mar 31, 2021
- Pension RAUM · $33.8M to $19.7MNov 24, 2020 to Mar 31, 2021
- RAUM · $1.4B to $1.5BNov 24, 2020 to Mar 31, 2021
Signals
11 dated events
- A••••• E••••••••• S•••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-09)Dec 16, 2022 · Advisor changed firm · fact
- R•••••• P•••••• M•••••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2023-01-13)Dec 16, 2022 · Advisor changed firm · fact
- S••••••• O•••• H••••••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-09)Dec 16, 2022 · Advisor changed firm · fact
- D••••• G••••• B•••••••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-09)Dec 16, 2022 · Advisor changed firm · fact
- J••••••• C••• F••••••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-09)Dec 16, 2022 · Advisor changed firm · fact
- D••• E•••••••• C•••••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-09)Dec 16, 2022 · Advisor changed firm · fact
- A•••••• A••••• V••••••••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-09)Dec 16, 2022 · Advisor changed firm · fact
- R•••••• M•••••• P•••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-19)Dec 16, 2022 · Advisor changed firm · fact
- L•••••• W••••• A•••••••• L••'s advisors moved to P•••• C•••••• F•••••••• (Naples, FL): 6 of 8 registered, on the same dayDec 16, 2022 · Firm absorbed (people side) · derived
- Robert Anthony Watson (Chief Investment Officer) no longer on Schedule A of L•••••• W••••• A•••••••• L•• (listed 2020-11-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- George Donald Bennyhoff (Investment Committee Chairman And Director Of Investor Education) appeared on Schedule A of L•••••• W••••• A•••••••• L••Mar 31, 2021 · Control person joined · 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