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•••••• M•••••••••
Legal name L•••• C•••••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Mar 1, 2012 · 22 filings
SEC status approved since Feb 17, 2005
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$178M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$180M
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
22 filings and snapshots on the tape
RAUM$180M as of Mar 10, 2026
Mar 1, 2012$93.6M then
HNW client RAUM$174M as of Mar 10, 2026
Mar 6, 2018$140M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Mar 1, 20120 then
Employees (5.A)1 as of Mar 10, 2026
Mar 4, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $979,125derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $20.8M, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M96%
- Individuals$4.7M2.6%
- Corporations and businesses$1.8M1.0%
- Individual clients
- 13reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 184reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.8M for 12 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• C•••• L••••Chartered Financial Analyst | Beverly Hills, Ca | Feb 23, 2005 | 26 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
- L••••• S••••• C•••• · Sole Member, President, Chief Compliance Officer & Portfolio Managercontrolsince 12/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 206 to 184Oct 27, 2025 to Jan 29, 2026
- HNW clients · 61 to 70Oct 27, 2025 to Jan 29, 2026
- Individual clients · 19 to 13Oct 27, 2025 to Jan 29, 2026
- Assets in custody · $37.8M to $20.8MOct 27, 2025 to Jan 29, 2026
- Discretionary RAUM · $159M to $180MOct 27, 2025 to Jan 29, 2026
- HNW RAUM · $149M to $174MOct 27, 2025 to Jan 29, 2026
- Individual RAUM · $9.0M to $4.7MOct 27, 2025 to Jan 29, 2026
- RAUM · $159M to $180MOct 27, 2025 to Jan 29, 2026
- Financial planning clients · unset to Feb 27, 2025 to Jun 9, 2025
- Accounts · 204 to 206Feb 21, 2024 to Feb 27, 2025
- HNW clients · 65 to 61Feb 21, 2024 to Feb 27, 2025
- Individual clients · 24 to 19Feb 21, 2024 to Feb 27, 2025
- Assets in custody · $34.0M to $37.8MFeb 21, 2024 to Feb 27, 2025
- Discretionary RAUM · $166M to $159MFeb 21, 2024 to Feb 27, 2025
- HNW RAUM · $155M to $149MFeb 21, 2024 to Feb 27, 2025
- Individual RAUM · $9.7M to $9.0MFeb 21, 2024 to Feb 27, 2025
- RAUM · $166M to $159MFeb 21, 2024 to Feb 27, 2025
- Accounts · 216 to 204Mar 17, 2023 to Feb 21, 2024
- HNW clients · 71 to 65Mar 17, 2023 to Feb 21, 2024
- Individual clients · 25 to 24Mar 17, 2023 to Feb 21, 2024
- Assets in custody · $73.9M to $34.0MMar 17, 2023 to Feb 21, 2024
- Discretionary RAUM · $160M to $166MMar 17, 2023 to Feb 21, 2024
- HNW RAUM · $150M to $155MMar 17, 2023 to Feb 21, 2024
- Individual RAUM · $8.6M to $9.7MMar 17, 2023 to Feb 21, 2024
- RAUM · $160M to $166MMar 17, 2023 to Feb 21, 2024
- Accounts · 231 to 216Mar 8, 2022 to Mar 17, 2023
- HNW clients · 74 to 71Mar 8, 2022 to Mar 17, 2023
- Individual clients · 28 to 25Mar 8, 2022 to Mar 17, 2023
- Assets in custody · $75.3M to $73.9MMar 8, 2022 to Mar 17, 2023
- Discretionary RAUM · $207M to $160MMar 8, 2022 to Mar 17, 2023
- HNW RAUM · $193M to $150MMar 8, 2022 to Mar 17, 2023
- Individual RAUM · $7.5M to $8.6MMar 8, 2022 to Mar 17, 2023
- RAUM · $207M to $160MMar 8, 2022 to Mar 17, 2023
- Accounts · 236 to 231Mar 11, 2021 to Mar 8, 2022
- HNW clients · 72 to 74Mar 11, 2021 to Mar 8, 2022
- Individual clients · 26 to 28Mar 11, 2021 to Mar 8, 2022
- Assets in custody · $61.3M to $75.3MMar 11, 2021 to Mar 8, 2022
- Discretionary RAUM · $155M to $207MMar 11, 2021 to Mar 8, 2022
- HNW RAUM · $142M to $193MMar 11, 2021 to Mar 8, 2022
- Individual RAUM · $6.2M to $7.5MMar 11, 2021 to Mar 8, 2022
Signals
No event on the tape.
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
- 310-276-1262reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-276-1283reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L••••CM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-276-1262reportedpublic record, Form ADV, Mar 10, 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
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026