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

Lake Street Advisors, LLC

Former SEC-registered adviserPortsmouth, New HampshireCRD 125471SEC 801-78869IAPD
Latest filing Mar 30, 2017
First filing on the tape Nov 21, 2013 · 9 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
34%
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
29
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.7B as of Mar 28, 2017
Mar 20, 2014$267M then
HNW client RAUM: no history
State-registered IARs (5.B.3)18 as of Mar 28, 2017
Mar 20, 201413 then
Employees (5.A)29 as of Mar 28, 2017
Mar 20, 201429 then
Private funds: no history
RAUM +46% over the last fiscal year+115% a year over threeIARs 17 to 18
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$148MderivedRAUM 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
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
34%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
9.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+46%derivedbetween the last two annual amendments
Advisor growth, one year
+5.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
  • 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)
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
1,554reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Bunting Ryan Carolyn Decker · Membercontrol
      since 08/2009 · owns 5% to 10%
    • Wilson Richard Dinsmore · Chief Compliance Officercontrol
      since 06/2014 · owns less than 5%
    • Arthur Robert Goyette · Manager/Membercontrol
      since 02/2003 · owns 25% to 50%
    • Alan Greg Vanslyke · Manager/Membercontrol
      since 02/2003 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Boston, MA
    What changed
    consecutive filings, newest first
    • Accounts · 1,079 to 1,554
      Mar 28, 2016 to Mar 28, 2017
    • Advisory employees · 17 to 18
      Mar 28, 2016 to Mar 28, 2017
    • Employees · 31 to 29
      Mar 28, 2016 to Mar 28, 2017
    • State-registered IARs · 17 to 18
      Mar 28, 2016 to Mar 28, 2017
    • Discretionary RAUM · $566M to $909M
      Mar 28, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $1.3B to $1.7B
      Mar 28, 2016 to Mar 28, 2017
    • RAUM · $1.8B to $2.7B
      Mar 28, 2016 to Mar 28, 2017
    • Accounts · 536 to 1,079
      Mar 25, 2015 to Mar 28, 2016
    • Advisory employees · 11 to 17
      Mar 25, 2015 to Mar 28, 2016
    • Employees · 28 to 31
      Mar 25, 2015 to Mar 28, 2016
    • State-registered IARs · 11 to 17
      Mar 25, 2015 to Mar 28, 2016
    • Discretionary RAUM · $486M to $566M
      Mar 25, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $547M to $1.3B
      Mar 25, 2015 to Mar 28, 2016
    • RAUM · $1.0B to $1.8B
      Mar 25, 2015 to Mar 28, 2016
    • Accounts · 140 to 536
      Nov 14, 2014 to Mar 25, 2015
    • Advisory employees · 13 to 11
      Nov 14, 2014 to Mar 25, 2015
    • Employees · 29 to 28
      Nov 14, 2014 to Mar 25, 2015
    • State-registered IARs · 13 to 11
      Nov 14, 2014 to Mar 25, 2015
    • Discretionary RAUM · $266M to $486M
      Nov 14, 2014 to Mar 25, 2015
    • Non-discretionary RAUM · $1.2M to $547M
      Nov 14, 2014 to Mar 25, 2015
    • RAUM · $267M to $1.0B
      Nov 14, 2014 to Mar 25, 2015
    • Accounts · 87 to 140
      Dec 12, 2013 to Mar 20, 2014
    • Advisory employees · 16 to 13
      Dec 12, 2013 to Mar 20, 2014
    • Employees · 31 to 29
      Dec 12, 2013 to Mar 20, 2014
    • State-registered IARs · 16 to 13
      Dec 12, 2013 to Mar 20, 2014
    • Discretionary RAUM · $188M to $266M
      Dec 12, 2013 to Mar 20, 2014
    • Non-discretionary RAUM · $0 to $1.2M
      Dec 12, 2013 to Mar 20, 2014
    • RAUM · $188M to $267M
      Dec 12, 2013 to Mar 20, 2014
    Signals
    1 dated events
    • Lake Street Advisors, Llc filed its initial SEC registration (Form ADV)
      Nov 21, 2013 · 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