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.

Former SEC-registered adviser

Lido Advisors

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 119540SEC 801-61074IAPD
Legal name Lido Advisors, Inc.
Latest filing Jun 11, 2015
First filing on the tape Mar 27, 2012 · 14 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
95%
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
27
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2015
Mar 27, 2012$433M then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Mar 31, 2015
Apr 1, 20137 then
Employees (5.A)27 as of Mar 31, 2015
Apr 1, 201312 then
Private funds: no history
RAUM +45% over the last fiscal year+38% a year over threeIARs 13 to 14
Practice profile
derived from the filing of Jun 11, 2015; every figure names its basis
RAUM per advisor
$80.8MderivedRAUM 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
$688,361derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
2.0derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+45%derivedbetween the last two annual amendments
Advisor growth, one year
+7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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 investment companies, selection of other advisersreportedItem 5.G
Custody
$3.3M, 4 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)
  • compensates persons for client referrals (8.G.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1,644reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$3.3M for 4 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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 7 left for Lido
    Jul 22, 2015 · Beverly Hills, Ca · Firm absorbed
  • 3 left for Lido
    Jul 22, 2015 · Dallas, Tx
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Paul Gregory Kushner · President And Chief Compliance Officercontrol
    since 05/1999 · owns 75% or more
  • Jay Jason Ozur · Managing Director, Chief Operations Officer & Portfolio Managercontrol
    since 02/2009 · owns less than 5%
  • Lyndsey Alyssa Weinberger · Senior Vice Presidentcontrol
    since 01/2014 · owns less than 5%
  • Joseph Jeffrey Westheimer · Senior Vice Presidentcontrol
    since 06/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Broomfield, CO
  • Dallas, TX
  • Las Vegas, NV
  • New York, NY
  • Rancho Santa Fe, CA
  • San Diego, CA
What changed
consecutive filings, newest first
  • Accounts · 1,603 to 1,644
    Jan 12, 2015 to Mar 31, 2015
  • Advisory employees · 13 to 15
    Jan 12, 2015 to Mar 31, 2015
  • BD registered reps · 8 to 6
    Jan 12, 2015 to Mar 31, 2015
  • Assets in custody · unset to 3300000.0
    Jan 12, 2015 to Mar 31, 2015
  • Custody of client assets · false to true
    Jan 12, 2015 to Mar 31, 2015
  • Employees · 17 to 27
    Jan 12, 2015 to Mar 31, 2015
  • Insurance-licensed employees · 6 to 7
    Jan 12, 2015 to Mar 31, 2015
  • State-registered IARs · 13 to 14
    Jan 12, 2015 to Mar 31, 2015
  • Discretionary RAUM · $728M to $1.1B
    Jan 12, 2015 to Mar 31, 2015
  • Non-discretionary RAUM · $160M to $62.0M
    Jan 12, 2015 to Mar 31, 2015
  • RAUM · $888M to $1.1B
    Jan 12, 2015 to Mar 31, 2015
  • Advisory activities · 4 to 5
    Jul 25, 2014 to Jan 12, 2015
  • Accounts · 1,398 to 1,603
    Jan 12, 2015 to Jan 12, 2015
  • Discretionary RAUM · $597M to $728M
    Jan 12, 2015 to Jan 12, 2015
  • Non-discretionary RAUM · $186M to $160M
    Jan 12, 2015 to Jan 12, 2015
  • RAUM · $783M to $888M
    Jan 12, 2015 to Jan 12, 2015
  • Accounts · 1,180 to 1,398
    Apr 15, 2013 to Mar 31, 2014
  • Advisory employees · 7 to 13
    Apr 15, 2013 to Mar 31, 2014
  • BD registered reps · 5 to 8
    Apr 15, 2013 to Mar 31, 2014
  • Employees · 12 to 17
    Apr 15, 2013 to Mar 31, 2014
  • Insurance-licensed employees · 3 to 6
    Apr 15, 2013 to Mar 31, 2014
  • State-registered IARs · 7 to 13
    Apr 15, 2013 to Mar 31, 2014
  • Discretionary RAUM · $561M to $597M
    Apr 15, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $27.9M to $186M
    Apr 15, 2013 to Mar 31, 2014
  • RAUM · $589M to $783M
    Apr 15, 2013 to Mar 31, 2014
  • Accounts · 829 to 1,180
    Oct 3, 2012 to Apr 1, 2013
  • Advisory employees · unset to 7.0
    Oct 3, 2012 to Apr 1, 2013
  • BD registered reps · unset to 5.0
    Oct 3, 2012 to Apr 1, 2013
  • Employees · unset to 12.0
    Oct 3, 2012 to Apr 1, 2013
  • Insurance-licensed employees · 0 to 3
    Oct 3, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 7.0
    Oct 3, 2012 to Apr 1, 2013
  • Discretionary RAUM · $402M to $561M
    Oct 3, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $31.5M to $27.9M
    Oct 3, 2012 to Apr 1, 2013
  • RAUM · $433M to $589M
    Oct 3, 2012 to Apr 1, 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