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•••••• P•••• I••••••••• C••••••

Former SEC-registered adviserTraverse City, MichiganCRD 108738SEC 801-54913IAPD
Legal name L•••••• P•••• I••••••••• C••••••• L••
Latest filing Mar 23, 2023
First filing on the tape Feb 21, 2012 · 16 filings
RAUM
$342M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$287M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$342M as of Mar 23, 2023
Feb 21, 2012$103M then
HNW client RAUM$283M as of Mar 23, 2023
Feb 22, 2018$174M then
State-registered IARs (5.B.3)1 as of Mar 23, 2023
Feb 8, 20131 then
Employees (5.A)1 as of Mar 23, 2023
Feb 8, 20131 then
Private funds: no history
RAUM -13% over the last fiscal year+4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2023; every figure names its basis
RAUM per advisor
$342MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$139M, 45 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$283M83%
  • Corporations and businesses$49.6M14%
  • Charitable organizations$5.8M1.7%
  • Individuals$3.6M1.1%
Individual clients
8reported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
82reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$139M for 45 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
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
    • P••••• J•••• C•••••• · Member/Chief Compliance Officercontrol
      since 07/1997 · owns 75% or more
    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 · 83 to 82
      Mar 7, 2022 to Mar 23, 2023
    • HNW clients · 72 to 71
      Mar 7, 2022 to Mar 23, 2023
    • Individual clients · 7 to 8
      Mar 7, 2022 to Mar 23, 2023
    • Assets in custody · unset to 139069161.0
      Mar 7, 2022 to Mar 23, 2023
    • Custody of client assets · false to true
      Mar 7, 2022 to Mar 23, 2023
    • Discretionary RAUM · $392M to $342M
      Mar 7, 2022 to Mar 23, 2023
    • HNW RAUM · $324M to $283M
      Mar 7, 2022 to Mar 23, 2023
    • Individual RAUM · $3.5M to $3.6M
      Mar 7, 2022 to Mar 23, 2023
    • RAUM · $392M to $342M
      Mar 7, 2022 to Mar 23, 2023
    • Accounts · 81 to 83
      Mar 22, 2021 to Mar 7, 2022
    • HNW clients · 61 to 72
      Mar 22, 2021 to Mar 7, 2022
    • Individual clients · 16 to 7
      Mar 22, 2021 to Mar 7, 2022
    • Discretionary RAUM · $309M to $392M
      Mar 22, 2021 to Mar 7, 2022
    • HNW RAUM · $244M to $324M
      Mar 22, 2021 to Mar 7, 2022
    • Individual RAUM · $9.4M to $3.5M
      Mar 22, 2021 to Mar 7, 2022
    • RAUM · $309M to $392M
      Mar 22, 2021 to Mar 7, 2022
    • Accounts · 87 to 81
      Jul 2, 2020 to Mar 22, 2021
    • Advisory activities · 2 to 3
      Jul 2, 2020 to Mar 22, 2021
    • HNW clients · 71 to 61
      Jul 2, 2020 to Mar 22, 2021
    • Individual clients · 12 to 16
      Jul 2, 2020 to Mar 22, 2021
    • Discretionary RAUM · $304M to $309M
      Jul 2, 2020 to Mar 22, 2021
    • HNW RAUM · $234M to $244M
      Jul 2, 2020 to Mar 22, 2021
    • Individual RAUM · $6.0M to $9.4M
      Jul 2, 2020 to Mar 22, 2021
    • RAUM · $304M to $309M
      Jul 2, 2020 to Mar 22, 2021
    • Legal name · L•••••• P•••• I••••••••• C•••••• to L•••••• P•••• I••••••••• C••••••, LLC
      Mar 12, 2020 to Jun 29, 2020
    • Accounts · 84 to 87
      Mar 28, 2019 to Mar 12, 2020
    • HNW clients · 64 to 71
      Mar 28, 2019 to Mar 12, 2020
    • Individual clients · 15 to 12
      Mar 28, 2019 to Mar 12, 2020
    • Discretionary RAUM · $251M to $304M
      Mar 28, 2019 to Mar 12, 2020
    • HNW RAUM · $190M to $234M
      Mar 28, 2019 to Mar 12, 2020
    • Individual RAUM · $8.5M to $6.0M
      Mar 28, 2019 to Mar 12, 2020
    • RAUM · $251M to $304M
      Mar 28, 2019 to Mar 12, 2020
    • Assets in custody · 46847050.0 to unset
      Apr 19, 2018 to Mar 28, 2019
    • Discretionary RAUM · $269M to $251M
      Apr 19, 2018 to Mar 28, 2019
    • HNW RAUM · $174M to $190M
      Apr 19, 2018 to Mar 28, 2019
    • Individual RAUM · $9.3M to $8.5M
      Apr 19, 2018 to Mar 28, 2019
    • RAUM · $269M to $251M
      Apr 19, 2018 to Mar 28, 2019
    • Assets in custody · unset to 46847050.0
      Feb 22, 2018 to Apr 19, 2018
    • Accounts · 87 to 84
      Mar 21, 2017 to Feb 22, 2018
    • HNW clients · unset to 64.0
      Mar 21, 2017 to Feb 22, 2018
    Signals
    1 dated events
    • J••• C•••••• P•••• left L•••••• P•••• I••••••••• C•••••• for R•• W••••• P••••••• (registered 2023-07-17)
      Sep 6, 2023 · Advisor changed firm · 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