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

A••••• F•••••••• S••••••••

Former SEC-registered adviserNovato, CaliforniaCRD 136025SEC 801-114959IAPD
Legal name L•••• F• B•••••• D•• A••••• F•••••••• S••••••••
Latest filing Mar 7, 2019
First filing on the tape Mar 7, 2019 · 1 filings
RAUM
$400M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
88%
$350M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $400M
HNW client RAUM: $50.0M
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds: no history
Practice profile
derived from the filing of Mar 7, 2019; 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
$1.0MderivedHNW RAUM over HNW clients
Average account
$842,105derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$300M75%
  • High-net-worth individuals$50.0M13%
  • Pension and profit-sharing plans$50.0M13%
Individual clients
400reported
HNW clients
50reported
Pension plan clients
25reported
Charitable clients
0reported
Accounts
475reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $400M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      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
        • B••••••• L••••• F••••••• · Ccocontrol
          since 07/2017 · 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
        One filing, no change to show.
        Signals
        1 dated events
        • A••••• F•••••••• S•••••••• filed its initial SEC registration (Form ADV)
          Mar 7, 2019 · 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