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••••••••
Legal name L••• F•••••••• S•••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Mar 24, 2012 · 41 filings
SEC status approved since Jun 4, 2003
RAUM
$3.2B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
73%
$2.3B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$212M
derived; firm RAUM over IAPD count
Employees
23
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$3.2B as of Jul 7, 2026
Mar 24, 2012$449M then
HNW client RAUM$2.2B as of Jul 7, 2026
Mar 29, 2018$630M then
State-registered IARs (5.B.3)15 as of Jul 7, 2026
Mar 24, 20120 then
Employees (5.A)23 as of Jul 7, 2026
Mar 8, 20137 then
Private funds: no history
RAUM +22% over the last fiscal year+23% a year over threeIARs 10 to 15
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $212MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Custody
- $1.1B, 840 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.2B69%
- Pension and profit-sharing plans$789M25%
- Individuals$137M4.3%
- Corporations and businesses$31.5M1.0%
- Charitable organizations$29.6M0.9%
- Individual clients
- 425reported
- HNW clients
- 420reported
- Pension plan clients
- 171reported
- Charitable clients
- n/areported
- Accounts
- 2,689reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 840 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P••• B•••••Certified Financial Planner, Personal Financial Specialist | O••••, Ne | Apr 9, 2001 | 30 y | 0 |
| J••••• B•••••• V•••••Certified Financial Planner | O••••, Ne | Feb 29, 2008 | 24 y | 0 |
| N••••••• S••••• H•••Certified Financial Planner | O••••, Ne | Sep 12, 2014 | 15 y | 1 |
| J••••• R••• H•••••••••Certified Financial Planner | O••••, Ne | Mar 13, 2015 | 24 y | 3 |
| C••••••••• M•••••• W•••••Certified Financial Planner | O••••, Ne | Oct 27, 2016 | 20 y | 1 |
| A••••• L•• W••••Certified Financial Planner | O••••, Ne | Apr 11, 2019 | 11 y | 2 |
| J••••• R• J••••••Chartered Financial Analyst | O••••, Ne | Oct 28, 2020 | 13 y | 1 |
| J••••• D••••• C••••••Certified Financial Planner | O••••, Ne | Dec 17, 2021 | 11 y | 0 |
| T••••• A••••• H••••••Certified Financial Planner | O••••, Ne | Jul 20, 2022 | 13 y | 4 |
| A•••••• L•••••• W••••••• | O••••, Ne | Jun 13, 2024 | 22 y | 1 |
| A••• M•••••• J•••••••Chartered Financial Analyst | O••••, Ne | Jul 18, 2025 | 10 y | 0 |
| S•••••• R•• G•••Certified Financial Planner | O••••, Ne | Jul 18, 2025 | 14 y | 2 |
| S••••• J•••• B••••••••Certified Financial Planner | O••••, Ne | Jul 28, 2025 | 11 y | 0 |
| L••••• J••••• S•••••Certified Financial Planner | O••••, Ne | Dec 12, 2025 | 10 y | 0 |
| R••• E••••• S•••••• | O••••, Ne | Jun 29, 2026 | 12 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 6.7% of current headcount1 left over 36 months
Left, latest
- B•••• A•••••• M••• to L•• F•••••••• L••Feb 4, 2026 · RIA to affiliated broker-dealer or bank
- A•••••• L• C••••• to A•••• W••••• M••••••••• L••Feb 3, 2016 · Other
- S•••••• R••••• P•••••••• to A•••• W••••• M••••••••• L••Dec 3, 2015 · Other
Joined, latest
- R••• E••••• S•••••• from C••••• I••••••••• A••••••• L••Jun 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• A•••••• M••• from P•••••••• S••••••••• I•••Jul 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••••• R•• G••• from C•••••• S••••• • C••• I•••Jul 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••• L•••••• W••••••• from E••••• J••••Jun 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••••• A••••• H•••••• from L•• F•••••••• L••Jul 20, 2022 · RIA to RIA
- J••••• R• J•••••• from O•••• P•••••••• S••••••••• L••Oct 28, 2020 · RIA to RIA
- A••••• L•• W•••• from S••••••••• A•••••• A•••••••• I•••Apr 11, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• M•••••• W••••• from M••••• O• O•••• I••••••• S•••••••• I•••Oct 27, 2016 · Other
- J••••• R••• H••••••••• from H•• I••••••••• A•••••••• I••Mar 13, 2015 · Other
- N••••••• S••••• H••• from W•••• F•••• A•••••••Sep 12, 2014 · Other
- A•••••• L• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 29, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• P••• · Managing Member & Chief Compliance Officercontrolsince 03/2001 · owns 10% to 25%
- D••••• M••• · Elected Managercontrolsince 08/2001 · owns F of E•••••• L••
- J••••••• J•••••• R• · Chief Investment Officer And P••••••••since 05/2022 · owns less than 5%
- V•••••• J•••••• B•••••• · Membersince 01/2012 · owns 5% to 10%
Entity owners
- E•••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- L••• • C••••••• P•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| O••••, Ne · principal | 15 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Grand Island, NE1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 7, 2026D••••• M••• (ELECTED MANAGER) left Schedule A between the filings of 2021-03-31 and 2026-07-07peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Advisory employees · 14 to 15Mar 22, 2026 to Jul 7, 2026
- Employees · 22 to 23Mar 22, 2026 to Jul 7, 2026
- State-registered IARs · 14 to 15Mar 22, 2026 to Jul 7, 2026
- Accounts · 2,386 to 2,689Nov 4, 2025 to Mar 22, 2026
- Charity clients · 4.0 to unsetNov 4, 2025 to Mar 22, 2026
- Corporate clients · 3 to 15Nov 4, 2025 to Mar 22, 2026
- HNW clients · 411 to 420Nov 4, 2025 to Mar 22, 2026
- Individual clients · 300 to 425Nov 4, 2025 to Mar 22, 2026
- Pension plan clients · 163 to 171Nov 4, 2025 to Mar 22, 2026
- Assets in custody · $880M to $1.1BNov 4, 2025 to Mar 22, 2026
- Employees · 23 to 22Nov 4, 2025 to Mar 22, 2026
- Discretionary RAUM · $2.3B to $2.8BNov 4, 2025 to Mar 22, 2026
- HNW RAUM · $1.9B to $2.2BNov 4, 2025 to Mar 22, 2026
- Individual RAUM · $81.0M to $137MNov 4, 2025 to Mar 22, 2026
- Non-discretionary RAUM · $296M to $352MNov 4, 2025 to Mar 22, 2026
- Pension RAUM · $638M to $789MNov 4, 2025 to Mar 22, 2026
- RAUM · $2.6B to $3.2BNov 4, 2025 to Mar 22, 2026
- Advisory employees · 10 to 14Mar 31, 2025 to Aug 18, 2025
- Employees · 21 to 23Mar 31, 2025 to Aug 18, 2025
- State-registered IARs · 10 to 14Mar 31, 2025 to Aug 18, 2025
- Accounts · 2,186 to 2,386Jun 13, 2024 to Mar 31, 2025
- Advisory employees · 11 to 10Jun 13, 2024 to Mar 31, 2025
- Charity clients · unset to 4.0Jun 13, 2024 to Mar 31, 2025
- Corporate clients · 7 to 3Jun 13, 2024 to Mar 31, 2025
- HNW clients · 369 to 411Jun 13, 2024 to Mar 31, 2025
- Individual clients · 275 to 300Jun 13, 2024 to Mar 31, 2025
- Pension plan clients · 150 to 163Jun 13, 2024 to Mar 31, 2025
- Assets in custody · $741M to $880MJun 13, 2024 to Mar 31, 2025
- Employees · 20 to 21Jun 13, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Jun 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0B to $2.3BJun 13, 2024 to Mar 31, 2025
- HNW RAUM · $1.7B to $1.9BJun 13, 2024 to Mar 31, 2025
- Individual RAUM · $75.7M to $81.0MJun 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $257M to $296MJun 13, 2024 to Mar 31, 2025
- Pension RAUM · $495M to $638MJun 13, 2024 to Mar 31, 2025
- RAUM · $2.3B to $2.6BJun 13, 2024 to Mar 31, 2025
- State-registered IARs · 9 to 10Apr 1, 2024 to Jun 13, 2024
- Advisory employees · 10 to 11Apr 1, 2024 to Jun 13, 2024
- Employees · 18 to 20Apr 1, 2024 to Jun 13, 2024
- Other offices · 0 to 1Apr 1, 2024 to Jun 13, 2024
Signals
4 dated events
- B•••• A•••••• M••• left L••• F•••••••• for L•• F•••••••• L•• (registered 2026-03-16)Feb 4, 2026 · Advisor changed firm · fact
- L••• F•••••••• reported RAUM $2.3B, up 32% from $1.7B (2023-12-07 to 2024-02-22)Feb 22, 2024 · RAUM change · derived
- L••• F•••••••• reported RAUM $1.8B, up 27% from $1.4B (2021-12-02 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Mark D•••• (Elected Manager) appeared on Schedule A of L••• F••••••••Aug 13, 2020 · Control person joined · 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
- Business phone
- 402-827-2300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-827-2319reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-827-2300reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- lutz.us/financial-services/contactreportedpublished by the firm, firm site, Sep 16, 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
- $212Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026