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•• I••••••••• M••••••••• L••
Latest filing Feb 21, 2025
First filing on the tape Mar 31, 2016 · 20 filings
SEC status approved since Apr 18, 2016
RAUM
$90.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$90.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$90.5M as of Feb 21, 2025
Mar 31, 2017$26.1M then
HNW client RAUM$77.3M as of Feb 21, 2025
Mar 28, 2018$17.9M then
State-registered IARs (5.B.3)0 as of Feb 21, 2025
Mar 31, 20170 then
Employees (5.A)1 as of Feb 21, 2025
Mar 31, 20171 then
Private funds: no history
RAUM +20% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 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
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $300,692derivedRAUM 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
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $64.0M, 94 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
- 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$77.3M85%
- Individuals$13.2M15%
- Individual clients
- 61reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 301reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.0M for 94 clientsreported
- Compensation
- % of AUM, 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- J•••• W•• L•• to C••••••••• I••••••••• A•••••••• L••Nov 21, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••••• W•• · Chief Compliance Officer, Managing Membercontrolsince 09/1998 · 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 |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 287 to 301Mar 22, 2024 to Feb 21, 2025
- Advisory activities · 4 to 5Mar 22, 2024 to Feb 21, 2025
- HNW clients · 35 to 45Mar 22, 2024 to Feb 21, 2025
- Individual clients · 66 to 61Mar 22, 2024 to Feb 21, 2025
- Assets in custody · $448,630 to $64.0MMar 22, 2024 to Feb 21, 2025
- Custody of client assets · false to trueMar 22, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 51-100Mar 22, 2024 to Feb 21, 2025
- Discretionary RAUM · $75.3M to $90.5MMar 22, 2024 to Feb 21, 2025
- HNW RAUM · $62.2M to $77.3MMar 22, 2024 to Feb 21, 2025
- Individual RAUM · $13.2M to $13.2MMar 22, 2024 to Feb 21, 2025
- RAUM · $75.3M to $90.5MMar 22, 2024 to Feb 21, 2025
- Accounts · 120 to 287Sep 8, 2023 to Mar 22, 2024
- HNW clients · 29 to 35Sep 8, 2023 to Mar 22, 2024
- Individual clients · 70 to 66Sep 8, 2023 to Mar 22, 2024
- Assets in custody · $424,189 to $448,630Sep 8, 2023 to Mar 22, 2024
- Discretionary RAUM · $54.8M to $75.3MSep 8, 2023 to Mar 22, 2024
- HNW RAUM · $11.1M to $62.2MSep 8, 2023 to Mar 22, 2024
- Individual RAUM · $43.7M to $13.2MSep 8, 2023 to Mar 22, 2024
- RAUM · $54.8M to $75.3MSep 8, 2023 to Mar 22, 2024
- Accounts · 99 to 120Oct 18, 2022 to Mar 30, 2023
- HNW clients · 32 to 29Oct 18, 2022 to Mar 30, 2023
- Individual clients · 67 to 70Oct 18, 2022 to Mar 30, 2023
- Assets in custody · $538,331 to $424,189Oct 18, 2022 to Mar 30, 2023
- Discretionary RAUM · $63.7M to $54.8MOct 18, 2022 to Mar 30, 2023
- HNW RAUM · $51.2M to $11.1MOct 18, 2022 to Mar 30, 2023
- Individual RAUM · $12.5M to $43.7MOct 18, 2022 to Mar 30, 2023
- RAUM · $63.7M to $54.8MOct 18, 2022 to Mar 30, 2023
- Accounts · 247 to 99Mar 22, 2021 to Mar 28, 2022
- HNW clients · 35 to 32Mar 22, 2021 to Mar 28, 2022
- Individual clients · 55 to 67Mar 22, 2021 to Mar 28, 2022
- Assets in custody · $444,518 to $538,331Mar 22, 2021 to Mar 28, 2022
- Discretionary RAUM · $51.5M to $63.7MMar 22, 2021 to Mar 28, 2022
- HNW RAUM · $41.0M to $51.2MMar 22, 2021 to Mar 28, 2022
- Individual RAUM · $10.5M to $12.5MMar 22, 2021 to Mar 28, 2022
- RAUM · $51.5M to $63.7MMar 22, 2021 to Mar 28, 2022
- Accounts · 230 to 247Jun 24, 2020 to Mar 18, 2021
- HNW clients · 32 to 35Jun 24, 2020 to Mar 18, 2021
- Individual clients · 90 to 55Jun 24, 2020 to Mar 18, 2021
- Financial planning clients · 101-250 to 51-100Jun 24, 2020 to Mar 18, 2021
- Discretionary RAUM · $41.1M to $51.5MJun 24, 2020 to Mar 18, 2021
Signals
3 dated events
- L•• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $90.5M)Dec 20, 2025 · Left the SEC roster · derived
- J•••• W•• L•• left L•• I••••••••• M••••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-10-14)Nov 21, 2025 · Advisor changed firm · fact
- L•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2016 · 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