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Former SEC-registered adviser

L••• I••••••••• A•••••••

Former SEC-registered adviserReedley, CaliforniaCRD 110990SEC 801-58265websiteIAPD
Legal name R••• L••• I••••••••• A•••••••• I•••
Latest filing Jun 11, 2012
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$52.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$26.2M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$52.4M as of Jun 11, 2012
Mar 29, 2012$53.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 11, 2012
Mar 29, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 2012; every figure names its basis
RAUM per advisor
$26.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$230,930derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
227reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• M••• L•••Certified Financial PlannerWilmington, Nc May 19, 199742 y0
E•••• R••••• L•••Certified Financial PlannerWilmington, NcApr 7, 201413 y0
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
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
    • E•••• J••••• S•••••• · Vice President And Chief Compliance Officercontrol
      since 10/2009 · owns less than 5%
    • L•••• R••••• M••• · Presidentcontrol
      since 04/1997 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Wilmington, Nc200
    Offices
    Schedule D 1.F, the 25 largest
    • Wilmington, NC
    What changed
    consecutive filings, newest first
    • Business name · D••• L••• I••••••••• A•••••••• I••• to L••• I••••••••• A•••••••
      May 2, 2012 to May 4, 2012
    • Accounts · 245 to 227
      Mar 29, 2012 to May 2, 2012
    • Advisory activities · 1 to 2
      Mar 29, 2012 to May 2, 2012
    • Discretionary RAUM · $52.7M to $52.3M
      Mar 29, 2012 to May 2, 2012
    • Non-discretionary RAUM · $466,993 to $146,783
      Mar 29, 2012 to May 2, 2012
    • RAUM · $53.1M to $52.4M
      Mar 29, 2012 to May 2, 2012
    • Related adviser · true to false
      Mar 29, 2012 to May 2, 2012
    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.
    How to reach
    public business contact points only, each with its source
    Website
    L•••FAMILYOFFICE.COMreportedpublic record, Form ADV, Jul 1, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $26.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026