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••• C•••••• M••••••••• L••
Latest filing Aug 14, 2026
First filing on the tape Mar 2, 2012 · 26 filings
SEC status approved since Mar 21, 2012
RAUM
$94.8M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$87.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$94.8M as of Aug 14, 2026
Jan 29, 2013$35.8M then
HNW client RAUM$78.0M as of Aug 14, 2026
Jan 14, 2018$54.9M then
State-registered IARs (5.B.3)2 as of Aug 14, 2026
Jan 29, 20130 then
Employees (5.A)3 as of Aug 14, 2026
Jan 29, 20132 then
Private funds: no history
RAUM +8.2% over the last fiscal year+7.6% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Aug 14, 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
- 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
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $585,458derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $48.6M, 47 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$78.0M82%
- Individuals$9.8M10%
- Pension and profit-sharing plans$7.1M7.4%
- Individual clients
- 35reported
- HNW clients
- 47reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 162reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.6M for 47 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••••• C•••• L•••Chartered Financial Analyst | Pittsford, Ny | Sep 26, 2012 | 32 y | 0 |
| J••• N••••• C•••• L•••Chartered Financial Analyst | Schererville, In | Apr 26, 2023 | 14 y | 2 |
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
- J••• N••••• C•••• L••• from N•• D•••• R•••••••• I•••Apr 26, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• D•••••••• C•••• · Presidentcontrolsince 03/1994 · owns 75% or more
- L•••• K•••••••• M• · Chief Compliance Officercontrolsince 03/2006 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Sarasota, FL2 employees
- Schererville, IN1 employees
What changed
consecutive filings, newest first
- Accounts · 160 to 162Oct 23, 2025 to Feb 25, 2026
- Advisory employees · 3 to 2Oct 23, 2025 to Feb 25, 2026
- HNW clients · 42 to 47Oct 23, 2025 to Feb 25, 2026
- Individual clients · 43 to 35Oct 23, 2025 to Feb 25, 2026
- Assets in custody · $27.4M to $48.6MOct 23, 2025 to Feb 25, 2026
- State-registered IARs · 3 to 2Oct 23, 2025 to Feb 25, 2026
- Discretionary RAUM · $86.5M to $93.9MOct 23, 2025 to Feb 25, 2026
- HNW RAUM · $69.4M to $78.0MOct 23, 2025 to Feb 25, 2026
- Individual RAUM · $12.1M to $9.8MOct 23, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $1.1M to $904,210Oct 23, 2025 to Feb 25, 2026
- Pension RAUM · $6.1M to $7.1MOct 23, 2025 to Feb 25, 2026
- RAUM · $87.6M to $94.8MOct 23, 2025 to Feb 25, 2026
- Accounts · 158 to 160Feb 18, 2024 to Feb 11, 2025
- HNW clients · 44 to 42Feb 18, 2024 to Feb 11, 2025
- Individual clients · 45 to 43Feb 18, 2024 to Feb 11, 2025
- Pension plan clients · 12 to 10Feb 18, 2024 to Feb 11, 2025
- Assets in custody · $24.9M to $27.4MFeb 18, 2024 to Feb 11, 2025
- Financial planning clients · 11-25 to 11-25Feb 18, 2024 to Feb 11, 2025
- Discretionary RAUM · $85.0M to $86.5MFeb 18, 2024 to Feb 11, 2025
- HNW RAUM · $66.1M to $69.4MFeb 18, 2024 to Feb 11, 2025
- Individual RAUM · $10.7M to $12.1MFeb 18, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $1.0M to $1.1MFeb 18, 2024 to Feb 11, 2025
- Pension RAUM · $9.2M to $6.1MFeb 18, 2024 to Feb 11, 2025
- RAUM · $86.0M to $87.6MFeb 18, 2024 to Feb 11, 2025
- Accounts · 138 to 158Jan 2, 2024 to Feb 18, 2024
- HNW clients · 39 to 44Jan 2, 2024 to Feb 18, 2024
- Individual clients · 47 to 45Jan 2, 2024 to Feb 18, 2024
- Pension plan clients · 5 to 12Jan 2, 2024 to Feb 18, 2024
- Assets in custody · $22.4M to $24.9MJan 2, 2024 to Feb 18, 2024
- Financial planning clients · 1-10 to 11-25Jan 2, 2024 to Feb 18, 2024
- Other offices · 1 to 2Jan 2, 2024 to Feb 18, 2024
- Discretionary RAUM · $75.1M to $85.0MJan 2, 2024 to Feb 18, 2024
- HNW RAUM · $57.4M to $66.1MJan 2, 2024 to Feb 18, 2024
- Individual RAUM · $11.2M to $10.7MJan 2, 2024 to Feb 18, 2024
- Non-discretionary RAUM · $1.1M to $1.0MJan 2, 2024 to Feb 18, 2024
- Pension RAUM · $7.6M to $9.2MJan 2, 2024 to Feb 18, 2024
- RAUM · $76.1M to $86.0MJan 2, 2024 to Feb 18, 2024
- Advisory employees · 2 to 3Feb 15, 2023 to May 2, 2023
- Employees · 2 to 3Feb 15, 2023 to May 2, 2023
- State-registered IARs · 2 to 3Feb 15, 2023 to May 2, 2023
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
- Business phone
- 585-248-9821reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lyoncapitalmanagement-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-248-9821reportedpublic record, Form ADV, Aug 14, 2026
- Team page
- lyoncapital.com/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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026