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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

L••••• S••••• L••

Independent wealth managerGeneva, IllinoisCRD 110517SEC 801-113460website IAPD

Latest filing Apr 12, 2026

First filing on the tape May 17, 2018 · 34 filings

SEC status approved since Jun 14, 2018

RAUM

$852M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$847M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$71.0M

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

34 filings and snapshots on the tape

RAUM$852M as of Apr 12, 2026

Mar 7, 2019$211M then

HNW client RAUM$589M as of Apr 12, 2026

Mar 7, 2019$87.0M then

State-registered IARs (5.B.3)14 as of Apr 12, 2026

Mar 7, 20197 then

Employees (5.A)38 as of Apr 12, 2026

Mar 7, 20199 then

Private funds: no history

RAUM +18% over the last fiscal year+22% a year over threeIARs 13 to 14offices 6 to 4

Practice profile

derived from the filing of Apr 12, 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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $85.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 80derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $513,739derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.8derivedItem 5.A over advisors
Advisors per office: 2.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.0%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program: $852MreportedItem 5.I
Custody: $21.0M, 4 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$589M69%
Individuals$259M30%
Pension and profit-sharing plans$3.2M0.4%
Charitable organizations$1.7M0.2%

Individual clients: 583reported
HNW clients: 216reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,659reported
Financial planning clients: 1-10reported
Wrap fee programs: $0 sponsored, $56,794 managedreported
Custody of client assets: $21.0M for 4 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=15.0derived

Advisors registered through the firm

11 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C•••••• R•••••• H••••••	Geneva, Il	Jun 7, 1999	30 y	1
J••• B•••• D•••	Geneva, Il	Jul 18, 2017	19 y	1
A••••• R•••••• G•••••Chartered Financial Analyst	Geneva, Il	Jul 18, 2017	17 y	1
M••••••• R•••• S••••	Geneva, Il	May 7, 2018	13 y	0
K•••• J••• P•••••••••Certified Financial Planner, Chartered Financial Analyst	Geneva, Il	May 14, 2019	17 y	2
L•••• L••• C•••••••	Geneva, Il	Apr 7, 2021	19 y	4
C••••••••• F• D••••••Chartered Financial Analyst	Geneva, Il	May 5, 2021	17 y	1
P•••• J•••• A•••••••••	Geneva, Il	May 14, 2021	10 y	0
R••• M•••••• K•••••••••	Geneva, Il	Sep 15, 2022	16 y	2
S••• R••••• P•••••••	Geneva, Il	Feb 5, 2025	17 y	0
K•••• K••••••	Geneva, Il	Jan 7, 2026	15 y	0

Advisor movement

2 left, 0 joined in 12 months

net -2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months

Left, latest

W•••• K• S••••• to B••• A••••••••• I••
Sep 16, 2026 · RIA to RIA
T••••• B•••••• K••• to F•••• T•••• A••••••• L•
May 3, 2026 · Other
T•••••• L•••• D••••• to L•• F•••••••• L••
Apr 30, 2021 · RIA to RIA

Joined, latest

R••• M•••••• K••••••••• from B•• P•••••••• I•••
Sep 15, 2022 · Affiliated broker-dealer or bank to independent RIA
C••••••••• F• D•••••• from S••••• W••••• A•••••••• I•••
May 5, 2021 · Other
L•••• L••• C••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
Apr 7, 2021 · Other
W•••• K• S••••• from L•• F•••••••• L••
Apr 5, 2021 · RIA to RIA
K•••• J••• P••••••••• from E•• A•••••••• L••
May 14, 2019 · Other
T•••••• L•••• D••••• from U•• F•••••••• S••••••• I•••
Jul 20, 2018 · Wirehouse to independent RIA
A••••• R•••••• G••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
Jul 18, 2017 · Other
J••• B•••• D••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
Jul 18, 2017 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
Nov 29, 2017 · Oak Brook, Il

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••• J•••• B•••• · Cheif Investment Officercontrol
since 03/2021 · owns less than 5%
G•••••• A•••••• R•••••• · Presidentcontrol
since 09/2011 · owns 75% or more
M•••••••• C••••••••• P••• · Chief Compliance Officer And Chief Operating Officercontrol
since 01/2024 · owns less than 5%
P••••••••• K••••• J••• · Director Of Wealth
since 01/2023 · owns 5% to 10%

Related persons

Schedule D 7.A

L••••• S•••• T••• L••
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Geneva, Il · principal	10	0	2

Offices

Schedule D 1.F, the 25 largest

Oakbrook, IL4 employees
, 1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

high employee count relative to advisorsStatic outlier · filing Apr 12, 2026
employees per registered advisor of 3.8 against a peer median of 1.4 (950 comparable advisers, 99.0th percentile, 6.1 robust deviations)
peers: independent wealth managers, $500M to $1B (950) · 99% percentile
employee count surgeChange between filings · filing Apr 12, 2026
employees (Item 5.A) moved from 21.0 to 38.0 (+81.0%) between the annual amendments of 2025-04-16 and 2026-04-12; the peer median change was 0.0% (596 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $500M to $1B (596) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,539 to 1,659
Dec 19, 2025 to Mar 20, 2026
Advisory employees · 20 to 14
Dec 19, 2025 to Mar 20, 2026
BD registered reps · 12 to 15
Dec 19, 2025 to Mar 20, 2026
HNW clients · 168 to 216
Dec 19, 2025 to Mar 20, 2026
Individual clients · 593 to 583
Dec 19, 2025 to Mar 20, 2026
Pension plan clients · 15.0 to unset
Dec 19, 2025 to Mar 20, 2026
Assets in custody · $8.4M to $21.0M
Dec 19, 2025 to Mar 20, 2026
Employees · 21 to 38
Dec 19, 2025 to Mar 20, 2026
Financial planning clients · More than 500 to 1-10
Dec 19, 2025 to Mar 20, 2026
State-registered IARs · 13 to 14
Dec 19, 2025 to Mar 20, 2026
Discretionary RAUM · $722M to $852M
Dec 19, 2025 to Mar 20, 2026
HNW RAUM · $440M to $589M
Dec 19, 2025 to Mar 20, 2026
Individual RAUM · $262M to $259M
Dec 19, 2025 to Mar 20, 2026
Non-discretionary RAUM · $86,540 to $56,794
Dec 19, 2025 to Mar 20, 2026
Pension RAUM · $20.6M to $3.2M
Dec 19, 2025 to Mar 20, 2026
RAUM · $722M to $852M
Dec 19, 2025 to Mar 20, 2026
Wrap assets (manager) · $2.1M to $56,794
Dec 19, 2025 to Mar 20, 2026
Other offices · 6 to 4
Apr 16, 2025 to Dec 19, 2025
Accounts · 1,416 to 1,539
Oct 23, 2024 to Apr 16, 2025
Advisory employees · 17 to 20
Oct 23, 2024 to Apr 16, 2025
BD registered reps · 14 to 12
Oct 23, 2024 to Apr 16, 2025
HNW clients · 131 to 168
Oct 23, 2024 to Apr 16, 2025
Individual clients · 603 to 593
Oct 23, 2024 to Apr 16, 2025
Pension plan clients · 11 to 15
Oct 23, 2024 to Apr 16, 2025
Assets in custody · $10.2M to $8.4M
Oct 23, 2024 to Apr 16, 2025
Employees · 19 to 21
Oct 23, 2024 to Apr 16, 2025
Insurance-licensed employees · 2 to 1
Oct 23, 2024 to Apr 16, 2025
Financial planning clients · More than 500 to More than 500
Oct 23, 2024 to Apr 16, 2025
State-registered IARs · 15 to 13
Oct 23, 2024 to Apr 16, 2025
Discretionary RAUM · $602M to $722M
Oct 23, 2024 to Apr 16, 2025
HNW RAUM · $344M to $440M
Oct 23, 2024 to Apr 16, 2025
Individual RAUM · $257M to $262M
Oct 23, 2024 to Apr 16, 2025
Non-discretionary RAUM · $1.3M to $86,540
Oct 23, 2024 to Apr 16, 2025
Pension RAUM · $2.9M to $20.6M
Oct 23, 2024 to Apr 16, 2025
RAUM · $603M to $722M
Oct 23, 2024 to Apr 16, 2025
Wrap assets (manager) · $1.1M to $2.1M
Oct 23, 2024 to Apr 16, 2025
Other offices · 5 to 6
Apr 19, 2024 to Oct 23, 2024
Accounts · 1,263 to 1,416
Nov 15, 2023 to Mar 24, 2024
Advisory employees · 16 to 17
Nov 15, 2023 to Mar 24, 2024
BD registered reps · 13 to 14
Nov 15, 2023 to Mar 24, 2024

Signals

12 dated events

K•••• K•••••• no longer holds an investment adviser registration (last listed at L••••• S••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
W•••• K• S••••• left L••••• S••••• L•• for B••• A••••••••• I•• (registered 2026-09-15)
Sep 16, 2026 · Advisor changed firm · fact
T••••• B•••••• K••• left L••••• S••••• L•• for F•••• T•••• A••••••• L• (registered 2026-05-08)
May 3, 2026 · Advisor changed firm · fact
L••••• S••••• L•• reported RAUM $603.4M, up 29% from $466.1M (2023-11-15 to 2024-03-24)
Mar 24, 2024 · RAUM change · derived
L••••• S••••• L•• reported 12 state-registered advisory representatives, up from 1 (2022-11-04 to 2023-03-27)
Mar 27, 2023 · Advisor headcount change · derived
L••••• S••••• L•• reported 1 state-registered advisory representatives, down from 11 (2021-12-08 to 2022-03-28)
Mar 28, 2022 · Advisor headcount change · derived
Paul Christopher Mcmanama (Chief Compliance Officer) appeared on Schedule A of L••••• S••••• L••
May 17, 2021 · Control person joined · fact
L••••• S••••• L•• reported RAUM $448.4M, up 44% from $312.2M (2020-12-24 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
Sharon Ann Montgomery (Chief Compliance Officer) no longer on Schedule A of L••••• S••••• L•• (listed 2020-12-24, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Brian John Dorn (Cheif Investment Officer) appeared on Schedule A of L••••• S••••• L••
Mar 30, 2021 · Control person joined · fact
L••••• S••••• L•• reported RAUM $312.2M, up 48% from $211.0M (2019-12-05 to 2020-03-09)
Mar 9, 2020 · RAUM change · derived
T•• R••••••••• N••••••• L••• filed its initial SEC registration (Form ADV)
May 17, 2018 · ria f•••• adv filing · 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: info@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: cduncan@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: cmcmanama@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: cmiller@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: dcoman@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: dreily@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: edavidson@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: gdison@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jbice@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jrenaldi@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kboyea@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kkerner@leelynsmith.comreportedpublished by the firm, firm site, Sep 15, 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: $71.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026