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•••••• G•••• C••••••••• I•••
Latest filing Apr 22, 2026
First filing on the tape May 2, 2012 · 29 filings
SEC status approved since Sep 10, 2008
RAUM
$536M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
38%
$204M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
17
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$536M as of Apr 22, 2026
May 2, 2012$212M then
HNW client RAUM$204M as of Apr 22, 2026
May 29, 2018$266M then
State-registered IARs (5.B.3)3 as of Apr 22, 2026
May 13, 20133 then
Employees (5.A)17 as of Apr 22, 2026
May 13, 20137 then
Private funds: no history
RAUM -12% over the last fiscal year+5.6% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Apr 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $303,878derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -39%derived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $82.7M, 123 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
- is an insurance broker or agent (6.A.6)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M38%
- Corporations and businesses$203M38%
- Pension and profit-sharing plans$79.4M15%
- Charitable organizations$37.4M7.0%
- Pooled investment vehicles$11.6M2.2%
- Individual clients
- 0reported
- HNW clients
- 155reported
- Pension plan clients
- 30reported
- Charitable clients
- 17reported
- Accounts
- 1,763reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.7M for 123 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.38 fund_share=0.02 institutional_share=0.22 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• E••• B•••Certified Financial Planner | Los Gatos, Ca | Jul 1, 1997 | 46 y | 1 |
| B•••• C•••••• B•••••Certified Financial Planner | Los Gatos, Ca | Jul 1, 1997 | 33 y | 1 |
| A••••• M•••••• B••••Chartered Financial Analyst | Fishers, In | May 30, 2024 | 28 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- S••• B••••• to R•••• I••••••••• S••••••••• L••Feb 9, 2026 · RIA to RIA
Joined, latest
- A••••• M•••••• B•••• from R•••• I••••••••• S••••••••• L••May 30, 2024 · Other
- S••• B••••• from B••••• P••••• W••••• A•••••••• L••Mar 4, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• R••••••• E••• · Chairman Of The Boardcontrolsince 04/1980 · owns 25% to 50%
- B••••• A•••••• M•••••• · Ciocontrolsince 02/2004 · owns 5% to 10%
- B•••••• B••••• C•••••• · Presidentcontrolsince 12/1992 · owns 25% to 50%
- L•••••• K••• A•• · Coocontrolsince 11/2007 · owns less than 5%
- E••••••••• L••••• S•••• · Chief Compliance Officersince 07/2023 · owns less than 5%
Related persons
Schedule D 7.A
- B••• • B••••• F•••••••• A•• I•••••••• S•••••••• L••real estaten
- R•••• I••••••••• S••••••••• L••investment advisern
Advisers that list L••••• C•••••• G•••• C••••••••• I••• as a related person
- 150801 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Gatos, Ca · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 22, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $608,388,867 to $535,737,470, advisors 4 to 3, private clients 256 to 155, offices 1 to 1 (2025-04-17 to 2026-04-22)peers: independent wealth managers, $500M to $1B (1,482)
- clients down average size upCombination · filing Apr 22, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $608,388,867 to $535,737,470, advisors 4 to 3, private clients 256 to 155, offices 1 to 1 (2025-04-17 to 2026-04-22)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Apr 22, 2026HNW share of RAUM moved from 98.0% to 38.0% between the annual amendments of 2025-04-17 and 2026-04-22peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Apr 22, 2026private-client share of RAUM moved from 100.0% to 38.0% between the annual amendments of 2025-04-17 and 2026-04-22peers: independent wealth managers, $500M to $1B (1,482)
- client count collapseChange between filings · filing Apr 22, 2026individual and HNW clients (Item 5.D) moved from 256.0 to 155.0 (-39.0%) between the annual amendments of 2025-04-17 and 2026-04-22; the peer median change was +5.0% (1216 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 2.3% percentile
- institutional asset share shiftChange between filings · filing Apr 22, 2026institutional share of RAUM moved from 0.0% to 60.0% between the annual amendments of 2025-04-17 and 2026-04-22peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,090 to 1,763Nov 5, 2025 to Apr 22, 2026
- Advisory employees · 4 to 3Nov 5, 2025 to Apr 22, 2026
- BD registered reps · 6 to 5Nov 5, 2025 to Apr 22, 2026
- Charity clients · unset to 17.0Nov 5, 2025 to Apr 22, 2026
- Corporate clients · unset to 26.0Nov 5, 2025 to Apr 22, 2026
- HNW clients · 153 to 155Nov 5, 2025 to Apr 22, 2026
- Individual clients · 103 to 0Nov 5, 2025 to Apr 22, 2026
- Pension plan clients · unset to 30.0Nov 5, 2025 to Apr 22, 2026
- Pooled vehicle clients · unset to 3.0Nov 5, 2025 to Apr 22, 2026
- Assets in custody · $119M to $82.7MNov 5, 2025 to Apr 22, 2026
- Employees · 18 to 17Nov 5, 2025 to Apr 22, 2026
- State-registered IARs · 4 to 3Nov 5, 2025 to Apr 22, 2026
- Discretionary RAUM · $608M to $536MNov 5, 2025 to Apr 22, 2026
- HNW RAUM · $594M to $204MNov 5, 2025 to Apr 22, 2026
- Individual RAUM · $14.5M to $0Nov 5, 2025 to Apr 22, 2026
- Pension RAUM · unset to 79376187.0Nov 5, 2025 to Apr 22, 2026
- Pooled vehicle RAUM · unset to 11596531.0Nov 5, 2025 to Apr 22, 2026
- RAUM · $608M to $536MNov 5, 2025 to Apr 22, 2026
- Accounts · 1,678 to 2,090Apr 16, 2024 to Apr 17, 2025
- HNW clients · 147 to 153Apr 16, 2024 to Apr 17, 2025
- Individual clients · 104 to 103Apr 16, 2024 to Apr 17, 2025
- Pooled vehicle clients · 2.0 to unsetApr 16, 2024 to Apr 17, 2025
- Assets in custody · $94.2M to $119MApr 16, 2024 to Apr 17, 2025
- Financial planning clients · 251-500 to 101-250Apr 16, 2024 to Apr 17, 2025
- State-registered IARs · 3 to 4Apr 16, 2024 to Apr 17, 2025
- Discretionary RAUM · $444M to $608MApr 16, 2024 to Apr 17, 2025
- HNW RAUM · $426M to $594MApr 16, 2024 to Apr 17, 2025
- Individual RAUM · $17.5M to $14.5MApr 16, 2024 to Apr 17, 2025
- Pooled vehicle RAUM · 915407.0 to unsetApr 16, 2024 to Apr 17, 2025
- RAUM · $444M to $608MApr 16, 2024 to Apr 17, 2025
- Accounts · 1,867 to 1,678Aug 23, 2023 to Apr 16, 2024
- HNW clients · 137 to 147Aug 23, 2023 to Apr 16, 2024
- Individual clients · 102 to 104Aug 23, 2023 to Apr 16, 2024
- Assets in custody · $65.3M to $94.2MAug 23, 2023 to Apr 16, 2024
- Employees · 14 to 18Aug 23, 2023 to Apr 16, 2024
- Financial planning clients · 11-25 to 251-500Aug 23, 2023 to Apr 16, 2024
- Discretionary RAUM · $424M to $444MAug 23, 2023 to Apr 16, 2024
- HNW RAUM · $410M to $426MAug 23, 2023 to Apr 16, 2024
- Individual RAUM · $13.5M to $17.5MAug 23, 2023 to Apr 16, 2024
- Pooled vehicle RAUM · $868,329 to $915,407Aug 23, 2023 to Apr 16, 2024
Signals
4 dated events
- S••• B••••• left L••••• C•••••• G•••• C••••••••• I••• for R•••• I••••••••• S••••••••• L•• (registered 2022-02-03)Feb 9, 2026 · Advisor changed firm · fact
- L••••• C•••••• G•••• C••••••••• I••• reported RAUM $608.4M, up 37% from $444.0M (2024-04-16 to 2025-04-17)Apr 17, 2025 · RAUM change · derived
- L••••• C•••••• G•••• C••••••••• I••• reported RAUM $455.2M, up 32% from $345.1M (2021-05-10 to 2022-05-26)May 26, 2022 · RAUM change · derived
- L••••• C•••••• G•••• C••••••••• I••• reported RAUM $332.0M, up 61% from $205.8M (2017-05-31 to 2018-05-29)May 29, 2018 · RAUM change · derived
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@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- amanda@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- anita@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- bao@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- estefania@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jeremy@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- justin@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kim@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- martin@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- maureen@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- nick@lcgca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- aj@lcgca.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $179Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026