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•••• I•••••••••

Former SEC-registered adviserGrand Island, New YorkCRD 108109SEC 801-57938IAPD
Legal name L•••• I••••••••• S••••••• C•••
Latest filing Feb 22, 2018
First filing on the tape Mar 13, 2012 · 7 filings
RAUM
$54.2M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
79%
$42.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$54.2M as of Feb 22, 2018
Mar 13, 2012$72.1M then
HNW client RAUM: $15.8M
State-registered IARs (5.B.3)0 as of Feb 22, 2018
Mar 13, 20120 then
Employees (5.A)4 as of Feb 22, 2018
Feb 15, 20134 then
Private funds: no history
RAUM -36% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2018; every figure names its basis
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
$829,302derivedHNW RAUM over HNW clients
Average account
$164,176derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$26.9M50%
  • High-net-worth individuals$15.8M29%
  • Pension and profit-sharing plans$11.5M21%
Individual clients
184reported
HNW clients
19reported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
330reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• P•••• D••••• · Vice Presidentcontrol
        since 03/1985 · owns 50% to 75%
      • L••••• T•••••• A•••• · Presidentcontrol
        since 03/1985 · owns 50% to 75%
      • Z•••••• M••••• A• · Chief Compliance Officer
        since 02/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 360 to 330
        Mar 8, 2017 to Feb 22, 2018
      • HNW clients · unset to 19.0
        Mar 8, 2017 to Feb 22, 2018
      • Individual clients · unset to 184.0
        Mar 8, 2017 to Feb 22, 2018
      • Pension plan clients · unset to 15.0
        Mar 8, 2017 to Feb 22, 2018
      • Assets in custody · 3067853.0 to unset
        Mar 8, 2017 to Feb 22, 2018
      • Other offices · unset to 0.0
        Mar 8, 2017 to Feb 22, 2018
      • Discretionary RAUM · $53.6M to $42.7M
        Mar 8, 2017 to Feb 22, 2018
      • HNW RAUM · unset to 15756735.0
        Mar 8, 2017 to Feb 22, 2018
      • Individual RAUM · unset to 26939342.0
        Mar 8, 2017 to Feb 22, 2018
      • Non-discretionary RAUM · $31.6M to $11.5M
        Mar 8, 2017 to Feb 22, 2018
      • Pension RAUM · unset to 11482115.0
        Mar 8, 2017 to Feb 22, 2018
      • RAUM · $85.2M to $54.2M
        Mar 8, 2017 to Feb 22, 2018
      • Accounts · 358 to 360
        Mar 9, 2016 to Mar 8, 2017
      • Assets in custody · $2.9M to $3.1M
        Mar 9, 2016 to Mar 8, 2017
      • Discretionary RAUM · $51.4M to $53.6M
        Mar 9, 2016 to Mar 8, 2017
      • Non-discretionary RAUM · $29.8M to $31.6M
        Mar 9, 2016 to Mar 8, 2017
      • RAUM · $81.2M to $85.2M
        Mar 9, 2016 to Mar 8, 2017
      • Accounts · 211 to 358
        Mar 19, 2015 to Mar 9, 2016
      • Assets in custody · $3.5M to $2.9M
        Mar 19, 2015 to Mar 9, 2016
      • Discretionary RAUM · $52.5M to $51.4M
        Mar 19, 2015 to Mar 9, 2016
      • Non-discretionary RAUM · $34.5M to $29.8M
        Mar 19, 2015 to Mar 9, 2016
      • RAUM · $87.0M to $81.2M
        Mar 19, 2015 to Mar 9, 2016
      • Accounts · 220 to 211
        Mar 21, 2014 to Mar 19, 2015
      • Assets in custody · $3.1M to $3.5M
        Mar 21, 2014 to Mar 19, 2015
      • Discretionary RAUM · $49.3M to $52.5M
        Mar 21, 2014 to Mar 19, 2015
      • Non-discretionary RAUM · $36.7M to $34.5M
        Mar 21, 2014 to Mar 19, 2015
      • RAUM · $86.0M to $87.0M
        Mar 21, 2014 to Mar 19, 2015
      • Accounts · 223 to 220
        Feb 15, 2013 to Mar 21, 2014
      • Assets in custody · $2.7M to $3.1M
        Feb 15, 2013 to Mar 21, 2014
      • Discretionary RAUM · $45.7M to $49.3M
        Feb 15, 2013 to Mar 21, 2014
      • Non-discretionary RAUM · $35.1M to $36.7M
        Feb 15, 2013 to Mar 21, 2014
      • RAUM · $80.8M to $86.0M
        Feb 15, 2013 to Mar 21, 2014
      • Accounts · 218 to 223
        Mar 13, 2012 to Feb 15, 2013
      • Advisory employees · unset to 3.0
        Mar 13, 2012 to Feb 15, 2013
      • BD registered reps · unset to 3.0
        Mar 13, 2012 to Feb 15, 2013
      • Assets in custody · $2.6M to $2.7M
        Mar 13, 2012 to Feb 15, 2013
      • Employees · unset to 4.0
        Mar 13, 2012 to Feb 15, 2013
      • Discretionary RAUM · $41.6M to $45.7M
        Mar 13, 2012 to Feb 15, 2013
      • Non-discretionary RAUM · $30.5M to $35.1M
        Mar 13, 2012 to Feb 15, 2013
      • RAUM · $72.1M to $80.8M
        Mar 13, 2012 to Feb 15, 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.
      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