DFX Intelligence
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L•••• C•••••• M•••••••••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $137M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $137M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +8.1%
- Private clients
- 100% of RAUM, $137M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 112463 · SEC 801-57799 · 19 filingsShowHide
CRD 112463SEC 801-57799Legal name L•••• C•••••• M••••••••• L•••First filing on the tape Mar 15, 2012, latest Mar 11, 2026SEC status approved since Sep 5, 2000IAPD
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
1
1 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$137M as of Mar 11, 2026
Mar 15, 2012$116M then
HNW client RAUM$125M as of Mar 11, 2026
Mar 28, 2018$13.4M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Apr 1, 20131 then
Employees (5.A)1 as of Mar 11, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +8.1% over the last fiscal year+7.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assetsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M91%
- Individuals$11.7M8.6%
- Individual clients
- 30reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 60reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| C•••••• S•••••• L••••Chartered Financial Analyst | Naples, Fl | Jan 30, 2000 | 37 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• C••••••• S•••••• · Partner And Chief Compliance Officercontrolsince 01/2000 · owns 75% or more
- L••••• J••• M••• · Partnersince 05/2000 · owns less than 5%
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 · 70 to 60Mar 13, 2025 to Mar 11, 2026
- Individual clients · 40 to 30Mar 13, 2025 to Mar 11, 2026
- Discretionary RAUM · $127M to $137MMar 13, 2025 to Mar 11, 2026
- HNW RAUM · $113M to $125MMar 13, 2025 to Mar 11, 2026
- Individual RAUM · $13.7M to $11.7MMar 13, 2025 to Mar 11, 2026
- RAUM · $127M to $137MMar 13, 2025 to Mar 11, 2026
- Accounts · 190 to 70Mar 21, 2024 to Mar 13, 2025
- HNW clients · 36 to 30Mar 21, 2024 to Mar 13, 2025
- Individual clients · 44 to 40Mar 21, 2024 to Mar 13, 2025
- Financial planning clients · 51-100 to 51-100Mar 21, 2024 to Mar 13, 2025
- HQ city · unset to Mar 21, 2024 to Mar 13, 2025
- HQ state · unset to Mar 21, 2024 to Mar 13, 2025
- Discretionary RAUM · $118M to $127MMar 21, 2024 to Mar 13, 2025
- HNW RAUM · $99.0M to $113MMar 21, 2024 to Mar 13, 2025
- Individual RAUM · $18.9M to $13.7MMar 21, 2024 to Mar 13, 2025
- RAUM · $118M to $127MMar 21, 2024 to Mar 13, 2025
- Accounts · 199 to 190Mar 17, 2023 to Mar 12, 2024
- HNW clients · 113 to 36Mar 17, 2023 to Mar 12, 2024
- Individual clients · 86 to 44Mar 17, 2023 to Mar 12, 2024
- Employees · 2 to 1Mar 17, 2023 to Mar 12, 2024
- Discretionary RAUM · $111M to $118MMar 17, 2023 to Mar 12, 2024
- HNW RAUM · $95.1M to $99.0MMar 17, 2023 to Mar 12, 2024
- Individual RAUM · $15.4M to $18.9MMar 17, 2023 to Mar 12, 2024
- RAUM · $111M to $118MMar 17, 2023 to Mar 12, 2024
- Accounts · 74 to 199Mar 21, 2022 to Mar 17, 2023
- Charity clients · 1 to 0Mar 21, 2022 to Mar 17, 2023
- HNW clients · 30 to 113Mar 21, 2022 to Mar 17, 2023
- Individual clients · 43 to 86Mar 21, 2022 to Mar 17, 2023
- Discretionary RAUM · $122M to $111MMar 21, 2022 to Mar 17, 2023
- HNW RAUM · $105M to $95.1MMar 21, 2022 to Mar 17, 2023
- Individual RAUM · $15.2M to $15.4MMar 21, 2022 to Mar 17, 2023
- RAUM · $122M to $111MMar 21, 2022 to Mar 17, 2023
- Accounts · 214 to 74Mar 18, 2021 to Mar 21, 2022
- Discretionary RAUM · $119M to $122MMar 18, 2021 to Mar 21, 2022
- HNW RAUM · $100M to $105MMar 18, 2021 to Mar 21, 2022
- Individual RAUM · $16.8M to $15.2MMar 18, 2021 to Mar 21, 2022
- RAUM · $119M to $122MMar 18, 2021 to Mar 21, 2022
- Accounts · 73 to 214Jun 30, 2020 to Mar 18, 2021
- HNW clients · 32 to 30Jun 30, 2020 to Mar 18, 2021
- Individual clients · 41 to 43Jun 30, 2020 to Mar 18, 2021
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 11, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026