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•• C•••••• L••
Latest filing Sep 3, 2026
First filing on the tape Mar 28, 2012 · 18 filings
SEC status approved since Mar 25, 2022
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
5
2 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$142M as of Mar 5, 2026
Mar 28, 2012$43.6M then
HNW client RAUM$121M as of Mar 5, 2026
Mar 28, 2023$83.8M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Mar 5, 2026
Mar 28, 20233 then
Private funds: no history
RAUM +7.0% over the last fiscal year+13% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $402,756derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $9.6M, 12 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$121M85%
- Individuals$20.7M15%
- Charitable organizations$158,7650.1%
- Individual clients
- 61reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 353reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.6M for 12 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• M•••••• P••••••• | Framingham, Ma | May 18, 2009 | 18 y | 0 |
| A•••• F••••• A•••• | Framingham, Ma | Aug 7, 2012 | 31 y | 0 |
| M•••••• T••••• N••••• | Framingham, Ma | Jul 23, 2025 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• A••••• F••••• · Manager And Ownercontrolsince 08/2003 · owns 75% or more
- C••• K•••••••• M••••• · Chief Compliance Officersince 09/2008 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Framingham, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Mar 5, 2026 to Sep 3, 2026
- Related adviser · false to unsetMar 5, 2026 to Sep 3, 2026
- Related bank · false to unsetMar 5, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetMar 5, 2026 to Sep 3, 2026
- Related insurance company · false to unsetMar 5, 2026 to Sep 3, 2026
- Succession · false to unsetMar 5, 2026 to Sep 3, 2026
- Accounts · 348 to 353Feb 20, 2026 to Mar 5, 2026
- HNW clients · 31 to 30Feb 20, 2026 to Mar 5, 2026
- Individual clients · 62 to 61Feb 20, 2026 to Mar 5, 2026
- Assets in custody · $9.0M to $9.6MFeb 20, 2026 to Mar 5, 2026
- Discretionary RAUM · $133M to $142MFeb 20, 2026 to Mar 5, 2026
- HNW RAUM · $116M to $121MFeb 20, 2026 to Mar 5, 2026
- Individual RAUM · $16.6M to $20.7MFeb 20, 2026 to Mar 5, 2026
- RAUM · $133M to $142MFeb 20, 2026 to Mar 5, 2026
- HQ city · to FRAMINGHAMJan 8, 2026 to Feb 20, 2026
- HQ state · to MAJan 8, 2026 to Feb 20, 2026
- Advisory employees · 1 to 2Mar 16, 2025 to Oct 9, 2025
- Employees · 4 to 5Mar 16, 2025 to Oct 9, 2025
- State-registered IARs · 1 to 2Mar 16, 2025 to Oct 9, 2025
- Accounts · 355 to 348Mar 1, 2024 to Mar 16, 2025
- HNW clients · 28 to 31Mar 1, 2024 to Mar 16, 2025
- Individual clients · 67 to 62Mar 1, 2024 to Mar 16, 2025
- Assets in custody · $10.0M to $9.0MMar 1, 2024 to Mar 16, 2025
- Employees · 3 to 4Mar 1, 2024 to Mar 16, 2025
- Financial planning clients · 51-100 to 51-100Mar 1, 2024 to Mar 16, 2025
- HQ city · unset to Mar 1, 2024 to Mar 16, 2025
- HQ state · unset to Mar 1, 2024 to Mar 16, 2025
- Discretionary RAUM · $121M to $133MMar 1, 2024 to Mar 16, 2025
- HNW RAUM · $103M to $116MMar 1, 2024 to Mar 16, 2025
- Individual RAUM · $18.6M to $16.6MMar 1, 2024 to Mar 16, 2025
- RAUM · $121M to $133MMar 1, 2024 to Mar 16, 2025
- Employees · 4 to 3Nov 14, 2023 to Feb 29, 2024
- Accounts · 319 to 355Nov 14, 2023 to Feb 29, 2024
- HNW clients · 25 to 28Nov 14, 2023 to Feb 29, 2024
- Individual clients · 55 to 67Nov 14, 2023 to Feb 29, 2024
- Assets in custody · $8.5M to $10.0MNov 14, 2023 to Feb 29, 2024
- Discretionary RAUM · $99.2M to $121MNov 14, 2023 to Feb 29, 2024
- HNW RAUM · $83.8M to $103MNov 14, 2023 to Feb 29, 2024
- Individual RAUM · $15.4M to $18.6MNov 14, 2023 to Feb 29, 2024
- RAUM · $99.2M to $121MNov 14, 2023 to Feb 29, 2024
Signals
1 dated events
- L•• C•••••• L•• filed its initial SEC registration (Form ADV)Feb 24, 2022 · 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 email
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-445-0111reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-445-0155reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 888-445-0111reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026