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L•••• A• B•••••• C••

Independent wealth managerSEC-registered· Santa Ana, California

Independent wealth manager, based in Santa Ana, California, reporting $240M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$240M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+6.5%
Form ADV, consecutive annual filings
Private clients
97% of RAUM, $234M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 111643 · SEC 801-60157 · 19 filingsShow
CRD 111643SEC 801-60157Legal name B•••••• L••••• A••First filing on the tape Mar 28, 2012, latest Mar 15, 2024SEC status approved since Apr 12, 2001IAPD
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$234M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$240M as of Mar 15, 2024
Mar 28, 2012$121M then
HNW client RAUM$98.9M as of Mar 15, 2024
Mar 22, 2022$168M then
State-registered IARs (5.B.3)0 as of Mar 15, 2024
Mar 28, 20120 then
Employees (5.A)1 as of Mar 15, 2024
Mar 14, 20133 then
Private funds: no history
RAUM +6.5% over the last fiscal year+1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$504,584derivedHNW RAUM over HNW clients
Average account
$349,336derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$135M56%
  • High-net-worth individuals$98.9M41%
  • Pension and profit-sharing plans$3.5M1.4%
  • Charitable organizations$2.5M1.1%
Individual clients
69reported
HNW clients
196reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
686reported
Financial planning clients
11-25reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    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
      • B•••••• L••••• A•• · Chief Compliance Officercontrol
        since 04/1985 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 684 to 686
        Mar 20, 2023 to Mar 15, 2024
      • HNW clients · 109 to 196
        Mar 20, 2023 to Mar 15, 2024
      • Individual clients · 156 to 69
        Mar 20, 2023 to Mar 15, 2024
      • Discretionary RAUM · $225M to $240M
        Mar 20, 2023 to Mar 15, 2024
      • HNW RAUM · $134M to $98.9M
        Mar 20, 2023 to Mar 15, 2024
      • Individual RAUM · $87.3M to $135M
        Mar 20, 2023 to Mar 15, 2024
      • Pension RAUM · $3.0M to $3.5M
        Mar 20, 2023 to Mar 15, 2024
      • RAUM · $225M to $240M
        Mar 20, 2023 to Mar 15, 2024
      • Accounts · 774 to 684
        Mar 22, 2022 to Mar 20, 2023
      • HNW clients · 77 to 109
        Mar 22, 2022 to Mar 20, 2023
      • Individual clients · 204 to 156
        Mar 22, 2022 to Mar 20, 2023
      • Discretionary RAUM · $244M to $225M
        Mar 22, 2022 to Mar 20, 2023
      • HNW RAUM · $168M to $134M
        Mar 22, 2022 to Mar 20, 2023
      • Individual RAUM · $70.1M to $87.3M
        Mar 22, 2022 to Mar 20, 2023
      • Pension RAUM · $3.7M to $3.0M
        Mar 22, 2022 to Mar 20, 2023
      • RAUM · $244M to $225M
        Mar 22, 2022 to Mar 20, 2023
      • Accounts · 576 to 774
        Mar 18, 2021 to Mar 22, 2022
      • HNW clients · unset to 77.0
        Mar 18, 2021 to Mar 22, 2022
      • Individual clients · 572 to 204
        Mar 18, 2021 to Mar 22, 2022
      • Legal name · L•••• A. B••••• to B•••••• L••••• A••
        Mar 18, 2021 to Mar 22, 2022
      • Discretionary RAUM · $214M to $244M
        Mar 18, 2021 to Mar 22, 2022
      • HNW RAUM · unset to 167975407.0
        Mar 18, 2021 to Mar 22, 2022
      • Individual RAUM · $227M to $70.1M
        Mar 18, 2021 to Mar 22, 2022
      • Non-discretionary RAUM · $12.2M to $0
        Mar 18, 2021 to Mar 22, 2022
      • Pension RAUM · unset to 3687811.0
        Mar 18, 2021 to Mar 22, 2022
      • RAUM · $227M to $244M
        Mar 18, 2021 to Mar 22, 2022
      • Accounts · 592 to 576
        Jun 18, 2020 to Mar 18, 2021
      • Employees · 2 to 1
        Jun 18, 2020 to Mar 18, 2021
      • Discretionary RAUM · $174M to $214M
        Jun 18, 2020 to Mar 18, 2021
      • Individual RAUM · $189M to $227M
        Jun 18, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $14.5M to $12.2M
        Jun 18, 2020 to Mar 18, 2021
      • RAUM · $189M to $227M
        Jun 18, 2020 to Mar 18, 2021
      • Accounts · 574 to 592
        Mar 26, 2019 to Mar 19, 2020
      • Individual clients · 574 to 572
        Mar 26, 2019 to Mar 19, 2020
      • Other offices · 1 to 0
        Mar 26, 2019 to Mar 19, 2020
      • Discretionary RAUM · $156M to $174M
        Mar 26, 2019 to Mar 19, 2020
      • Individual RAUM · $163M to $189M
        Mar 26, 2019 to Mar 19, 2020
      • Non-discretionary RAUM · $7.2M to $14.5M
        Mar 26, 2019 to Mar 19, 2020
      • RAUM · $163M to $189M
        Mar 26, 2019 to Mar 19, 2020
      • Accounts · 595 to 574
        Mar 29, 2018 to Mar 26, 2019
      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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 15, 2024
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026