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•••••••• S••••••••• I•••
Latest filing Aug 12, 2026
First filing on the tape Apr 16, 2018 · 18 filings
SEC status approved since Aug 16, 2023
RAUM
$357M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$357M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$89.4M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$357M as of Aug 12, 2026
Mar 15, 2019$12.8M then
HNW client RAUM$213M as of Aug 12, 2026
Mar 15, 2019$741,370 then
State-registered IARs (5.B.3)4 as of Aug 12, 2026
Mar 15, 20193 then
Employees (5.A)5 as of Aug 12, 2026
Mar 15, 20195 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 6 to 4
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $89.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 129derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $295,638derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- 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
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$213M60%
- Individuals$145M40%
- Individual clients
- 416reported
- HNW clients
- 99reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,209reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• A••• W••••Certified Financial Planner | Weston, Fl | Jul 14, 1997 | 29 y | 0 |
| S••••••• C•••••• F••••• | Weston, Fl | Mar 14, 2018 | 12 y | 0 |
| M••• L• H••••• | Macomb, Mi | Mar 24, 2021 | 34 y | 2 |
| R••••• T••••Chartered Financial Consultant | Weston, Fl | Jan 22, 2025 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- A••••• V•••••• to S•••••• W••••• P•••••••• L••Aug 11, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••• L• H••••• from E••••• J••••Mar 24, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• S•••••••• C•••••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- W••••• L••••• A••• · Presidentcontrolsince 03/1997 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Weston, Fl · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 12, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 18, 2026 to Aug 12, 2026
- Employees · 6 to 5Mar 18, 2026 to Aug 12, 2026
- State-registered IARs · 5 to 4Mar 18, 2026 to Aug 12, 2026
- Accounts · 1,061 to 1,209Jan 13, 2026 to Feb 18, 2026
- HNW clients · 68 to 99Jan 13, 2026 to Feb 18, 2026
- Individual clients · 403 to 416Jan 13, 2026 to Feb 18, 2026
- HNW RAUM · $155M to $213MJan 13, 2026 to Feb 18, 2026
- Individual RAUM · $149M to $145MJan 13, 2026 to Feb 18, 2026
- Non-discretionary RAUM · $305M to $357MJan 13, 2026 to Feb 18, 2026
- RAUM · $305M to $357MJan 13, 2026 to Feb 18, 2026
- Advisory employees · 6 to 5Apr 9, 2025 to Aug 19, 2025
- Employees · 7 to 6Apr 9, 2025 to Aug 19, 2025
- State-registered IARs · 6 to 5Apr 9, 2025 to Aug 19, 2025
- Financial planning clients · 251-500 to 251-500Feb 28, 2025 to Apr 9, 2025
- Accounts · 1,009 to 1,061Apr 29, 2024 to Feb 28, 2025
- Advisory employees · 5 to 6Apr 29, 2024 to Feb 28, 2025
- Charity clients · unset to 0.0Apr 29, 2024 to Feb 28, 2025
- Corporate clients · unset to 0.0Apr 29, 2024 to Feb 28, 2025
- HNW clients · 59 to 68Apr 29, 2024 to Feb 28, 2025
- Individual clients · 389 to 403Apr 29, 2024 to Feb 28, 2025
- Pension plan clients · unset to 0.0Apr 29, 2024 to Feb 28, 2025
- Pooled vehicle clients · unset to 0.0Apr 29, 2024 to Feb 28, 2025
- Employees · 6 to 7Apr 29, 2024 to Feb 28, 2025
- State-registered IARs · 5 to 6Apr 29, 2024 to Feb 28, 2025
- HNW RAUM · $128M to $155MApr 29, 2024 to Feb 28, 2025
- Individual RAUM · $135M to $149MApr 29, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $263M to $305MApr 29, 2024 to Feb 28, 2025
- Pension RAUM · unset to 0.0Apr 29, 2024 to Feb 28, 2025
- Pooled vehicle RAUM · unset to 0.0Apr 29, 2024 to Feb 28, 2025
- RAUM · $263M to $305MApr 29, 2024 to Feb 28, 2025
- Advisory employees · 4 to 5Feb 28, 2024 to Apr 29, 2024
- Employees · 5 to 6Feb 28, 2024 to Apr 29, 2024
- State-registered IARs · 4 to 5Feb 28, 2024 to Apr 29, 2024
- Accounts · 977 to 1,009Oct 19, 2023 to Feb 28, 2024
- HNW clients · 61 to 59Oct 19, 2023 to Feb 28, 2024
- Individual clients · 382 to 389Oct 19, 2023 to Feb 28, 2024
- HNW RAUM · $126M to $128MOct 19, 2023 to Feb 28, 2024
- Individual RAUM · $130M to $135MOct 19, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $255M to $263MOct 19, 2023 to Feb 28, 2024
- RAUM · $255M to $263MOct 19, 2023 to Feb 28, 2024
Signals
4 dated events
- A••••• V•••••• left L••••••• F•••••••• S••••••••• I••• for S•••••• W••••• P•••••••• L•• (registered 2026-08-17)Aug 11, 2026 · Advisor changed firm · fact
- Sherwood Forman (Chief Compliance Officer) appeared on Schedule A of L••••••• F•••••••• S••••••••• I•••May 3, 2019 · Control person joined · fact
- L••••••• F•••••••• S••••••••• I••• reported RAUM $12.8M, down 91% from $137.9M (2018-10-23 to 2019-03-15)Mar 15, 2019 · RAUM change · derived
- L••••••• F•••••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Apr 16, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 954-384-7716reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 954-385-7812reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/lifespan-financial-strategiesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954-385-7812reportedpublic record, Form ADV, Aug 12, 2026
- Contact form
- LIFESPANFINANCIALSTRATEGIES.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- LIFESPANFINANCIALSTRATEGIES.COM/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $89.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026