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••• F•••••••• M••••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Feb 17, 2024 · 5 filings
SEC status approved since Mar 18, 2024
RAUM
$134M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$134M as of Feb 26, 2026
Feb 3, 2025$115M then
HNW client RAUM$97.8M as of Feb 26, 2026
Feb 3, 2025$74.5M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Feb 3, 20251 then
Employees (5.A)2 as of Feb 26, 2026
Feb 3, 20252 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $270,879derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$97.8M73%
- Individuals$35.2M26%
- Charitable organizations$546,0670.4%
- Individual clients
- 96reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 493reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• P•••••• L•••Certified Financial Planner | Centennial, Co | Jan 13, 2018 | 38 y | 3 |
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
- M•••••• R• V•• B•••••• to E••••• J••••Jun 28, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••• P•••••• L••• from S••••••• I••••••••• I•••Jan 13, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• D•••••• P•••••• · Cco/Presidentcontrolsince 12/1998 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 489 to 493Aug 27, 2025 to Feb 26, 2026
- HNW clients · 43 to 53Aug 27, 2025 to Feb 26, 2026
- Individual clients · 105 to 96Aug 27, 2025 to Feb 26, 2026
- HNW RAUM · $74.5M to $97.8MAug 27, 2025 to Feb 26, 2026
- Individual RAUM · $40.4M to $35.2MAug 27, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $115M to $134MAug 27, 2025 to Feb 26, 2026
- RAUM · $115M to $134MAug 27, 2025 to Feb 26, 2026
- HNW RAUM · $74.5M to $74.5MFeb 3, 2025 to Aug 27, 2025
- Individual RAUM · $40.4M to $40.4MFeb 3, 2025 to Aug 27, 2025
- Non-discretionary RAUM · $115M to $115MFeb 3, 2025 to Aug 27, 2025
- RAUM · $115M to $115MFeb 3, 2025 to Aug 27, 2025
- Accounts · 493 to 489Feb 17, 2024 to Feb 3, 2025
- HNW clients · 40 to 43Feb 17, 2024 to Feb 3, 2025
- Individual clients · 118 to 105Feb 17, 2024 to Feb 3, 2025
- Financial planning clients · 101-250 to 101-250Feb 17, 2024 to Feb 3, 2025
- HNW RAUM · $64.4M to $74.5MFeb 17, 2024 to Feb 3, 2025
- Individual RAUM · $38.7M to $40.4MFeb 17, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $104M to $115MFeb 17, 2024 to Feb 3, 2025
- RAUM · $104M to $115MFeb 17, 2024 to Feb 3, 2025
Signals
1 dated events
- L••• F•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 17, 2024 · First SEC registration · 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
- Website
- L•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-779-0987reportedpublic record, Form ADV, Feb 26, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026