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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SEC-registered adviser
L•••••••• W••••• A•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Feb 9, 2012 · 20 filings
SEC status approved since Mar 22, 2019
RAUM
$217M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$213M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
2
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$217M as of Feb 6, 2026
Feb 9, 2012$82.2M then
HNW client RAUM$201M as of Feb 6, 2026
Feb 5, 2020$122M then
State-registered IARs (5.B.3)2 as of Feb 6, 2026
Feb 9, 20120 then
Employees (5.A)2 as of Feb 6, 2026
Feb 5, 20202 then
Private funds: 1
RAUM +7.2% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 14, 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
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $846,985derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $47.4M, 46 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$201M93%
- Individuals$12.3M5.7%
- Corporations and businesses$3.6M1.7%
- Charitable organizations$274,3340.1%
- Individual clients
- 43reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 256reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.4M for 46 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L••••••• W•••••••Certified Financial Planner | Exeter, Nh | Mar 17, 2005 | 32 y | 1 |
| L••••••• E••••• S•••••• | Exeter, Nh | Oct 15, 2020 | 25 y | 0 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• F••••••• L•no longer reported | Other Private Fund | $11.0M | 78 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• L•••••••• E••••• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- W•••••••• R•••••• L••••••• · Manager Member/Chief Compliance Officercontrolsince 05/2000 · 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 |
|---|---|---|---|---|---|
| Exeter, Nh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Feb 6, 2026 to Sep 14, 2026
- Related adviser · false to unsetFeb 6, 2026 to Sep 14, 2026
- Related bank · false to unsetFeb 6, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetFeb 6, 2026 to Sep 14, 2026
- Related insurance company · false to unsetFeb 6, 2026 to Sep 14, 2026
- Succession · false to unsetFeb 6, 2026 to Sep 14, 2026
- Accounts · 252 to 256Nov 12, 2025 to Feb 6, 2026
- HNW clients · 47 to 50Nov 12, 2025 to Feb 6, 2026
- Individual clients · 48 to 43Nov 12, 2025 to Feb 6, 2026
- Assets in custody · $53.6M to $47.4MNov 12, 2025 to Feb 6, 2026
- Discretionary RAUM · $195M to $209MNov 12, 2025 to Feb 6, 2026
- HNW RAUM · $184M to $201MNov 12, 2025 to Feb 6, 2026
- Individual RAUM · $14.4M to $12.3MNov 12, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $7.3M to $7.4MNov 12, 2025 to Feb 6, 2026
- RAUM · $202M to $217MNov 12, 2025 to Feb 6, 2026
- Accounts · 244 to 252Feb 13, 2024 to Feb 12, 2025
- HNW clients · 50 to 47Feb 13, 2024 to Feb 12, 2025
- Individual clients · 44 to 48Feb 13, 2024 to Feb 12, 2025
- Assets in custody · $38.4M to $53.6MFeb 13, 2024 to Feb 12, 2025
- Financial planning clients · 26-50 to 26-50Feb 13, 2024 to Feb 12, 2025
- Discretionary RAUM · $163M to $195MFeb 13, 2024 to Feb 12, 2025
- HNW RAUM · $149M to $184MFeb 13, 2024 to Feb 12, 2025
- Individual RAUM · $11.2M to $14.4MFeb 13, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $0 to $7.3MFeb 13, 2024 to Feb 12, 2025
- RAUM · $163M to $202MFeb 13, 2024 to Feb 12, 2025
- Accounts · 230 to 244Nov 27, 2023 to Feb 13, 2024
- HNW clients · 49 to 50Nov 27, 2023 to Feb 13, 2024
- Individual clients · 43 to 44Nov 27, 2023 to Feb 13, 2024
- Assets in custody · $37.3M to $38.4MNov 27, 2023 to Feb 13, 2024
- Discretionary RAUM · $152M to $163MNov 27, 2023 to Feb 13, 2024
- HNW RAUM · $141M to $149MNov 27, 2023 to Feb 13, 2024
- Individual RAUM · $7.9M to $11.2MNov 27, 2023 to Feb 13, 2024
- RAUM · $152M to $163MNov 27, 2023 to Feb 13, 2024
- Accounts · 133 to 230Jan 3, 2023 to Mar 3, 2023
- Corporate clients · 8 to 5Jan 3, 2023 to Mar 3, 2023
- HNW clients · 77 to 49Jan 3, 2023 to Mar 3, 2023
- Individual clients · 48 to 43Jan 3, 2023 to Mar 3, 2023
- Assets in custody · $38.7M to $37.3MJan 3, 2023 to Mar 3, 2023
- Discretionary RAUM · $181M to $152MJan 3, 2023 to Mar 3, 2023
- HNW RAUM · $169M to $141MJan 3, 2023 to Mar 3, 2023
Signals
2 dated events
- Edward Lawrence Sarkozy (Chief Operating Officer) appeared on Schedule A of L•••••••• W••••• A•••••••• L••Jan 3, 2023 · Control person joined · fact
- L•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 2019 · First SEC registration · fact
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
- 603-773-0080reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 603-773-0090reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-773-0080reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- ledgewoodwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ledgewoodwealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026