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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
L•••••• C•••••• M••••••••• I•••
Latest filing Jun 13, 2012
First filing on the tape Feb 21, 2012 · 12 filings
RAUM
$38.7M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$38.7M as of Jun 13, 2012
Feb 21, 2012$52.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 13, 2012
Feb 21, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 13, 2012; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $98,128derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
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
- 394reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- J••••••• P••• L•••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••May 10, 2023 · Other
- H•••• A•• L•••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••May 10, 2023 · Other
- M•••••• D• A••••• to C••••••••• I••••••••• M••••••••• L••Nov 13, 2015 · Other
- B••••••• M•••• S••••••• to C••••••••• I••••••••• M••••••••• L••Jun 9, 2014 · Other
- S•••• A••• P••••• to T•••••• F••••••••Jan 7, 2014 · Other
- B••••••• A••••• E•••• to W••••••••• L••Oct 1, 2007 · Other
Joined, latest
- H•••• A•• L•••••• from R•••••• I•••••••••Dec 20, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••May 10, 2023 · Bellingham, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• S••••••• P••• · Chief Compliance Officercontrolsince 01/1997 · owns 75% or more
- S•••••••• B••• M•••• · Presidentcontrolsince 09/2009 · owns less than 5%
Related persons
Schedule D 7.A
- L•• I••••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 526 to 394May 29, 2012 to Jun 11, 2012
- Non-discretionary RAUM · $14.0M to $0May 29, 2012 to Jun 11, 2012
- RAUM · $52.7M to $38.7MMay 29, 2012 to Jun 11, 2012
- Related insurance company · false to trueMar 19, 2012 to Apr 3, 2012
Signals
3 dated events
- J••••••• P••• L•••••• left L•••••• C•••••• M••••••••• I••• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2022-11-01)May 10, 2023 · Advisor changed firm · fact
- H•••• A•• L•••••• left L•••••• C•••••• M••••••••• I••• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2022-11-01)May 10, 2023 · Advisor changed firm · fact
- 2 advisors left L•••••• C•••••• M••••••••• I••• (Bellingham, WA) for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• on the same dayMay 10, 2023 · Team lift-out · derived
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