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••••• F•••••••• S•••••••• I•••
Latest filing Feb 9, 2025
First filing on the tape Jan 30, 2012 · 9 filings
SEC status approved since Mar 22, 2021
RAUM
$164M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$163M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$164M as of Feb 9, 2025
Jan 30, 2012$35.0M then
HNW client RAUM$139M as of Feb 9, 2025
Feb 3, 2022$110M then
State-registered IARs (5.B.3)0 as of Feb 9, 2025
Jan 30, 20120 then
Employees (5.A)4 as of Feb 9, 2025
Feb 3, 20226 then
Private funds: no history
RAUM +23% over the last fiscal year+13% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Feb 9, 2025; 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
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.1%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
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M85%
- Individuals$24.7M15%
- Charitable organizations$83,9710.1%
- Individual clients
- 59reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 109reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- T•••••• P••• K•••••• to T••••• P••••••• L••Oct 29, 2025 · RIA to RIA
- M•••• G••• S•••••••• to T••••• P••••••• L••Oct 29, 2025 · RIA to RIA
- L••• M••••• to T••••• P••••••• L••Oct 29, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for T••••• P••••••• L••Oct 29, 2025 · Alpharetta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• B•••• · Ceo And President Emerituscontrolsince 01/2019 · owns 25% to 50%
- M•••••• C••••••• J••• · Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- M•••••• L••• · Vice Presidentcontrolsince 01/2019 · owns 25% to 50%
- S••••••••• M••••• G••• · Presidentcontrolsince 01/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 0 | 0 | 2 | 1 | |
| Hendersonville, Nc | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 418 to 109Feb 1, 2024 to Feb 9, 2025
- Advisory employees · 4 to 3Feb 1, 2024 to Feb 9, 2025
- HNW clients · 38 to 49Feb 1, 2024 to Feb 9, 2025
- Individual clients · 68 to 59Feb 1, 2024 to Feb 9, 2025
- Employees · 5 to 4Feb 1, 2024 to Feb 9, 2025
- Financial planning clients · unset to Feb 1, 2024 to Feb 9, 2025
- Other offices · 1 to 0Feb 1, 2024 to Feb 9, 2025
- HNW RAUM · $107M to $139MFeb 1, 2024 to Feb 9, 2025
- Individual RAUM · $26.4M to $24.7MFeb 1, 2024 to Feb 9, 2025
- Non-discretionary RAUM · $133M to $164MFeb 1, 2024 to Feb 9, 2025
- RAUM · $133M to $164MFeb 1, 2024 to Feb 9, 2025
- Accounts · 98 to 418Feb 21, 2023 to Feb 1, 2024
- HNW clients · 46 to 38Feb 21, 2023 to Feb 1, 2024
- Individual clients · 51 to 68Feb 21, 2023 to Feb 1, 2024
- HNW RAUM · $110M to $107MFeb 21, 2023 to Feb 1, 2024
- Individual RAUM · $5.0M to $26.4MFeb 21, 2023 to Feb 1, 2024
- Non-discretionary RAUM · $115M to $133MFeb 21, 2023 to Feb 1, 2024
- RAUM · $115M to $133MFeb 21, 2023 to Feb 1, 2024
- Employees · 6 to 5Feb 3, 2022 to Feb 21, 2023
- Accounts · 91 to 98Feb 19, 2021 to Feb 3, 2022
- HNW clients · 38 to 46Feb 19, 2021 to Feb 3, 2022
- Individual clients · 52 to 51Feb 19, 2021 to Feb 3, 2022
- HNW RAUM · $94.7M to $110MFeb 19, 2021 to Feb 3, 2022
- Individual RAUM · $21.1M to $5.0MFeb 19, 2021 to Feb 3, 2022
- Non-discretionary RAUM · $116M to $115MFeb 19, 2021 to Feb 3, 2022
- RAUM · $116M to $115MFeb 19, 2021 to Feb 3, 2022
- Accounts · 66 to 91Mar 5, 2012 to Feb 18, 2021
- Advisory employees · unset to 4.0Mar 5, 2012 to Feb 18, 2021
- Advisory activities · 1 to 2Mar 5, 2012 to Feb 18, 2021
- Charity clients · unset to 1.0Mar 5, 2012 to Feb 18, 2021
- HNW clients · unset to 38.0Mar 5, 2012 to Feb 18, 2021
- Individual clients · unset to 52.0Mar 5, 2012 to Feb 18, 2021
- Employees · unset to 6.0Mar 5, 2012 to Feb 18, 2021
- HQ city · unset to ALPHARETTAMar 5, 2012 to Feb 18, 2021
- HQ state · unset to GAMar 5, 2012 to Feb 18, 2021
- Other offices · unset to 1.0Mar 5, 2012 to Feb 18, 2021
- HNW RAUM · unset to 94740721.0Mar 5, 2012 to Feb 18, 2021
- Individual RAUM · unset to 21073832.0Mar 5, 2012 to Feb 18, 2021
- Non-discretionary RAUM · $35.0M to $116MMar 5, 2012 to Feb 18, 2021
- RAUM · $35.0M to $116MMar 5, 2012 to Feb 18, 2021
Signals
11 dated events
- L••••• F•••••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $163.6M)Dec 20, 2025 · Left the SEC roster · derived
- T•••••• P••• K•••••• left L••••• F•••••••• S•••••••• I••• for T••••• P••••••• L•• (registered 2026-08-21)Oct 29, 2025 · Advisor changed firm · fact
- L••• M••••• left L••••• F•••••••• S•••••••• I••• for T••••• P••••••• L•• (registered 2025-10-09)Oct 29, 2025 · Advisor changed firm · fact
- M•••• G••• S•••••••• left L••••• F•••••••• S•••••••• I••• for T••••• P••••••• L•• (registered 2025-10-14)Oct 29, 2025 · Advisor changed firm · fact
- 2 advisors left L••••• F•••••••• S•••••••• I••• (Alpharetta, GA) for T••••• P••••••• L•• on the same dayOct 29, 2025 · Team lift-out · derived
- Lee Toby L••••• (Chief Compliance Officer) no longer on Schedule A of L••••• F•••••••• S•••••••• I••• (listed 2012-03-05, absent 2021-02-18)Feb 18, 2021 · Control person left · inference
- Bernd L••••• (Ceo And President Emeritus) appeared on Schedule A of L••••• F•••••••• S•••••••• I•••Feb 18, 2021 · Control person joined · fact
- Gale Marci Silverman (President) appeared on Schedule A of L••••• F•••••••• S•••••••• I•••Feb 18, 2021 · Control person joined · fact
- J••• C•••••• M••••• (Chief Compliance Officer) appeared on Schedule A of L••••• F•••••••• S•••••••• I•••Feb 18, 2021 · Control person joined · fact
- L••• M••••• (Vice President) appeared on Schedule A of L••••• F•••••••• S•••••••• I•••Feb 18, 2021 · Control person joined · fact
- L••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Feb 18, 2021 · 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.
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