DFX Intelligence
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SEC-registered adviser
L••••• P•••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Dec 12, 1980
RAUM
$396M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$385M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$79.2M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$396M as of Jul 13, 2026
Mar 29, 2012$160M then
HNW client RAUM$261M as of Jul 13, 2026
Mar 26, 2018$135M then
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Jul 13, 2026
Apr 22, 20138 then
Private funds: no history
RAUM +7.3% over the last fiscal year+8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $79.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$261M66%
- Individuals$124M31%
- Pension and profit-sharing plans$8.0M2.0%
- Charitable organizations$3.0M0.8%
- Individual clients
- 267reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 381reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• L••••• | Westlake, Oh | Sep 27, 1999 | 45 y | 0 |
| M•••••• J••••• L••••• | Westlake, Oh | Sep 27, 1999 | 39 y | 0 |
| M••• C•••••••• T•••••Certified Financial Planner | Westlake, Oh | Jan 29, 2003 | 27 y | 0 |
| N••••• R•••••• G•••Certified Financial Planner | Westlake, Oh | Nov 22, 2005 | 24 y | 0 |
| K•••• M•••••• L•••••Certified Financial Planner | Westlake, Oh | Jan 3, 2019 | 14 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• M••••••• J••••• · Presidentcontrolsince 01/2018 · owns 75% or more
- T•••••• M•••• C•••••••• · Vice Presidentcontrolsince 12/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Westlake, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 392 to 381Mar 28, 2025 to Mar 27, 2026
- HNW clients · 101 to 109Mar 28, 2025 to Mar 27, 2026
- Individual clients · 285 to 267Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $363M to $389MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $230M to $261MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $128M to $124MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $6.5M to $7.0MMar 28, 2025 to Mar 27, 2026
- RAUM · $369M to $396MMar 28, 2025 to Mar 27, 2026
- Accounts · 377 to 392Mar 27, 2024 to Mar 28, 2025
- HNW clients · 86 to 101Mar 27, 2024 to Mar 28, 2025
- Individual clients · 284 to 285Mar 27, 2024 to Mar 28, 2025
- Pension plan clients · 5.0 to unsetMar 27, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $337M to $363MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $204M to $230MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $129M to $128MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $6.2M to $6.5MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $8.2M to $8.0MMar 27, 2024 to Mar 28, 2025
- RAUM · $343M to $369MMar 27, 2024 to Mar 28, 2025
- Accounts · 385 to 377Mar 29, 2023 to Mar 27, 2024
- HNW clients · 82 to 86Mar 29, 2023 to Mar 27, 2024
- Individual clients · 295 to 284Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $308M to $337MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $177M to $204MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $122M to $129MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $8.0M to $8.2MMar 29, 2023 to Mar 27, 2024
- RAUM · $314M to $343MMar 29, 2023 to Mar 27, 2024
- Accounts · 373 to 385Mar 25, 2022 to Mar 29, 2023
- HNW clients · 78 to 82Mar 25, 2022 to Mar 29, 2023
- Individual clients · 289 to 295Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $331M to $308MMar 25, 2022 to Mar 29, 2023
- HNW RAUM · $184M to $177MMar 25, 2022 to Mar 29, 2023
- Individual RAUM · $144M to $122MMar 25, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $6.8M to $6.2MMar 25, 2022 to Mar 29, 2023
- Pension RAUM · $9.1M to $8.0MMar 25, 2022 to Mar 29, 2023
- RAUM · $338M to $314MMar 25, 2022 to Mar 29, 2023
- Accounts · 370 to 373Mar 26, 2021 to Mar 25, 2022
- HNW clients · 80 to 78Mar 26, 2021 to Mar 25, 2022
- Individual clients · 284 to 289Mar 26, 2021 to Mar 25, 2022
- Discretionary RAUM · $301M to $331MMar 26, 2021 to Mar 25, 2022
Signals
1 dated events
- ••• LockedNov 4, 2015 · Succession (Item 4) · 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 email
- k••••@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- l•@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- l••@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- r•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 440-871-3607reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 440-871-9500reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-871-4820reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- L•••••P•••••••.COMreportedpublic record, Form ADV, Jul 13, 2026
- Principal office phone
- 440-871-9500reportedpublic record, Form ADV, Jul 13, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $79.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026