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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Former SEC-registered adviser

L•• W••••• M••••••••• L••

Former SEC-registered adviserJacksonville, FloridaCRD 113309SEC 801-70003IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$350M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$350M as of Mar 31, 2017
Mar 28, 2012$229M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2017
Mar 28, 20120 then
Employees (5.A)6 as of Mar 31, 2017
Mar 26, 201324 then
Private funds: no history
RAUM +12% over the last fiscal year+4.1% a year over threeIARs 3 to 5
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$69.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$421,849derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$84.0M, 44 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
829reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$84.0M for 44 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••••• D••••• T••••• · Managing Member, Chief Investment Officer & Chief Compliance Officercontrol
      since 10/2008 · owns 50% to 75%
    • C••••••• M••••••• B••• · Membercontrol
      since 02/2014 · owns 5% to 10%
    • B••••••• D••••• A••• · Vice President, Directorcontrol
      since 01/1989 · owns F of L•• C•••••••• P••••• A••••••••• P•••
    • B••••• R••••••• D•••• · Presidentcontrol
      since 07/1983 · owns F of L•• C•••••••• P••••• A••••••••• P•••
    • H•••••••• R•••••• W•••••• · Secretary, Directorcontrol
      since 01/1989 · owns F of L•• C•••••••• P••••• A••••••••• P•••
    • P••••••• H••••• M•••••• · Treasurer, Directorcontrol
      since 01/1989 · owns F of L•• C•••••••• P••••• A••••••••• P•••
    • V•• S••••• N•••• J•••• · Managing Member, Vice Presidentcontrol
      since 10/1997 · owns F of L•• C•••••••• P••••• A••••••••• P•••
    • B••••••• D••••• A••• · Member
      since 03/2009 · owns less than 5%
    • B••••• D•••••• C•••••• · Member
      since 01/2014 · owns less than 5%
    • B••••• R••••••• D•••• · Member
      since 03/2009 · owns less than 5%
    • C••••••••• C•••••• L•• · Member
      since 03/2009 · owns less than 5%
    • C•••••••• E••••• P••••••• · Member
      since 03/2016 · owns less than 5%
    • C•••••••• J•••••• F•••••• · Member
      since 03/2009 · owns less than 5%
    • F••••• B••••••• B•••••• · Member
      since 03/2016 · owns less than 5%
    • G••••••••• E•••••• J•• · Member
      since 03/2009 · owns less than 5%
    • H••••••• M•••• C••••••• · Member
      since 03/2009 · owns less than 5%
    • H•••••••• R•••••• W•••••• · Member
      since 03/2009 · owns less than 5%
    • L•••••• J••••• K•••• · Member
      since 10/2014 · owns less than 5%
    • M•••••••• E•••• S•••• · Member
      since 03/2016 · owns less than 5%
    • M••••••• S••••• H••••••• · Member
      since 03/2016 · owns less than 5%
    • M••••••••• B••••• L••• · Member
      since 03/2016 · owns less than 5%
    • M•••••••• R•••••• A•••••• · Member
      since 08/2010 · owns less than 5%
    • M•••••• W••••••• R•••• · Member
      since 03/2009 · owns less than 5%
    • P••••••• H••••• M•••••• · Member
      since 03/2009 · owns less than 5%
    • S••••••• W••••••• G•••••• · Member
      since 03/2009 · owns less than 5%
    • S•••••••• S••••• A•••• · Member
      since 03/2009 · owns less than 5%
    • T•••••• J••••• L•••• · Member
      since 03/2009 · owns less than 5%
    • V•• S••••• N•••• J•••• · Member
      since 03/2009 · owns less than 5%
    • W••••• J••••• R••••• · Member
      since 03/2009 · owns less than 5%
    • C•••••••• J•••••• F•••••• · Director
      since 01/2009 · owns F of L•• C•••••••• P••••• A••••••••• P•••
    Entity owners
    • L•• C•••••••• P••••• A••••••••• P••• · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • L•• C•••••••• P••••• A••••••••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 809 to 829
      Mar 30, 2016 to Mar 31, 2017
    • Advisory employees · 3 to 5
      Mar 30, 2016 to Mar 31, 2017
    • Assets in custody · $47.3M to $84.0M
      Mar 30, 2016 to Mar 31, 2017
    • Employees · 25 to 6
      Mar 30, 2016 to Mar 31, 2017
    • State-registered IARs · 3 to 5
      Mar 30, 2016 to Mar 31, 2017
    • Discretionary RAUM · $311M to $350M
      Mar 30, 2016 to Mar 31, 2017
    • RAUM · $311M to $350M
      Mar 30, 2016 to Mar 31, 2017
    • Accounts · 719 to 809
      Mar 31, 2015 to Mar 30, 2016
    • Assets in custody · $112M to $47.3M
      Mar 31, 2015 to Mar 30, 2016
    • Employees · 21 to 25
      Mar 31, 2015 to Mar 30, 2016
    • State-registered IARs · 8 to 3
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $310M to $311M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $310M to $311M
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 684 to 719
      Mar 31, 2014 to Mar 31, 2015
    • Advisory activities · 4 to 3
      Mar 31, 2014 to Mar 31, 2015
    • Assets in custody · $116M to $112M
      Mar 31, 2014 to Mar 31, 2015
    • Financial planning clients · 1-10 to unset
      Mar 31, 2014 to Mar 31, 2015
    • Discretionary RAUM · $302M to $310M
      Mar 31, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $7.3M to $0
      Mar 31, 2014 to Mar 31, 2015
    • RAUM · $310M to $310M
      Mar 31, 2014 to Mar 31, 2015
    • Accounts · 603 to 684
      Mar 26, 2013 to Mar 31, 2014
    • Advisory employees · 8 to 3
      Mar 26, 2013 to Mar 31, 2014
    • Assets in custody · $80.7M to $116M
      Mar 26, 2013 to Mar 31, 2014
    • Employees · 24 to 21
      Mar 26, 2013 to Mar 31, 2014
    • Insurance-licensed employees · 2 to 0
      Mar 26, 2013 to Mar 31, 2014
    • Financial planning clients · 0 to 1-10
      Mar 26, 2013 to Mar 31, 2014
    • Discretionary RAUM · $227M to $302M
      Mar 26, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $1.9M to $7.3M
      Mar 26, 2013 to Mar 31, 2014
    • RAUM · $229M to $310M
      Mar 26, 2013 to Mar 31, 2014
    • Accounts · 586 to 603
      Mar 28, 2012 to Mar 26, 2013
    • Advisory employees · unset to 8.0
      Mar 28, 2012 to Mar 26, 2013
    • Assets in custody · $69.0M to $80.7M
      Mar 28, 2012 to Mar 26, 2013
    • Employees · unset to 24.0
      Mar 28, 2012 to Mar 26, 2013
    • Financial planning clients · 1-10 to 0
      Mar 28, 2012 to Mar 26, 2013
    • State-registered IARs · 0 to 8
      Mar 28, 2012 to Mar 26, 2013
    • Discretionary RAUM · $202M to $227M
      Mar 28, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $27.2M to $1.9M
      Mar 28, 2012 to Mar 26, 2013
    • RAUM · $229M to $229M
      Mar 28, 2012 to Mar 26, 2013
    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.
    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
    Former SEC-registered adviserderiveda 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