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.
Latest filing Mar 30, 2026
First filing on the tape Mar 21, 2012 · 23 filings
SEC status approved since Aug 6, 2004
RAUM
$257M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
94%
$243M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$257M as of Mar 30, 2026
Mar 21, 2012$77.3M then
HNW client RAUM$232M as of Mar 30, 2026
Mar 14, 2018$108M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 21, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 18, 20132 then
Private funds: no history
RAUM +64% over the last fiscal year+20% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +119%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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
- High-net-worth individuals$232M90%
- Individuals$11.0M4.3%
- Corporations and businesses$8.6M3.3%
- Charitable organizations$5.9M2.3%
- Individual clients
- 39reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 232reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lawrence Howard Levy | Boca Raton, Fl | Sep 6, 2021 | 36 y | 5 |
| Andre Lamar Mcclure | New York, Ny | Feb 14, 2025 | 27 y | 3 |
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
- Lawrence Howard Levy to B Riley Wealth ManagementDec 2, 2010 · Other
Joined, latest
- Andre Lamar Mcclure from Kdm Capital LLCFeb 14, 2025 · RIA to RIA
- Lawrence Howard Levy from B Riley Wealth ManagementSep 6, 2021 · Other
- Lawrence Howard Levy from Dominick & Dominick LLCMay 6, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Howard Lawrence Levy · Managing Member / Chief Compliance Officercontrolsince 09/2004 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $157,262,968 to $257,368,475 (+64.0%) between the annual amendments of 2025-03-20 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): yes on the filing of 2025-11-05, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 115 to 232Nov 5, 2025 to Mar 30, 2026
- Charity clients · 0 to 1Nov 5, 2025 to Mar 30, 2026
- Corporate clients · 2 to 4Nov 5, 2025 to Mar 30, 2026
- HNW clients · 33 to 66Nov 5, 2025 to Mar 30, 2026
- Individual clients · 15 to 39Nov 5, 2025 to Mar 30, 2026
- Assets in custody · 9255777.0 to unsetNov 5, 2025 to Mar 30, 2026
- Custody of client assets · true to falseNov 5, 2025 to Mar 30, 2026
- Employees · 4 to 3Nov 5, 2025 to Mar 30, 2026
- Insurance-licensed employees · 1 to 0Nov 5, 2025 to Mar 30, 2026
- Other offices · 1 to 2Nov 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $148M to $248MNov 5, 2025 to Mar 30, 2026
- HNW RAUM · $145M to $232MNov 5, 2025 to Mar 30, 2026
- Individual RAUM · $8.9M to $11.0MNov 5, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $9.4M to $8.9MNov 5, 2025 to Mar 30, 2026
- RAUM · $157M to $257MNov 5, 2025 to Mar 30, 2026
- Related adviser · true to falseNov 5, 2025 to Mar 30, 2026
- Accounts · 121 to 115Mar 20, 2024 to Mar 20, 2025
- Advisory employees · 2 to 3Mar 20, 2024 to Mar 20, 2025
- HNW clients · 36 to 33Mar 20, 2024 to Mar 20, 2025
- Individual clients · 14 to 15Mar 20, 2024 to Mar 20, 2025
- Assets in custody · $10.2M to $9.3MMar 20, 2024 to Mar 20, 2025
- Employees · 3 to 4Mar 20, 2024 to Mar 20, 2025
- Insurance-licensed employees · 0 to 1Mar 20, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 20, 2025
- HQ city · unset to Mar 20, 2024 to Mar 20, 2025
- HQ state · unset to Mar 20, 2024 to Mar 20, 2025
- State-registered IARs · 1 to 2Mar 20, 2024 to Mar 20, 2025
- Other offices · 0 to 1Mar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $150M to $148MMar 20, 2024 to Mar 20, 2025
- HNW RAUM · $153M to $145MMar 20, 2024 to Mar 20, 2025
- Individual RAUM · $6.9M to $8.9MMar 20, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $12.3M to $9.4MMar 20, 2024 to Mar 20, 2025
- RAUM · $162M to $157MMar 20, 2024 to Mar 20, 2025
- Related adviser · false to trueMar 20, 2024 to Mar 20, 2025
- Corporate clients · 3 to 2Mar 21, 2023 to Mar 20, 2024
- Individual clients · 17 to 14Mar 21, 2023 to Mar 20, 2024
- Assets in custody · $10.6M to $10.2MMar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $137M to $150MMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $140M to $153MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $5.9M to $6.9MMar 21, 2023 to Mar 20, 2024
Signals
1 dated events
- Ike Capital, Llc reported RAUM $257.4M, up 64% from $157.3M (2025-11-05 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
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
- 917-825-1536reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- IKECAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-825-1536reportedpublic record, Form ADV, Mar 30, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026