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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
L•••• C•••••• M••••••••• L••
Latest filing Mar 3, 2025
First filing on the tape Mar 30, 2012 · 13 filings
SEC status approved since Apr 17, 2020
RAUM
$381M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$373M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$381M as of Mar 3, 2025
Mar 30, 2012$55.8M then
HNW client RAUM$320M as of Mar 3, 2025
Mar 25, 2021$125M then
State-registered IARs (5.B.3)3 as of Mar 3, 2025
Mar 30, 20120 then
Employees (5.A)3 as of Mar 3, 2025
Mar 25, 20213 then
Private funds: no history
RAUM +30% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 3, 2025; every figure names its basis
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $395,870derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $251M, 224 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
- is an insurance broker or agent (6.A.6)
- 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$320M84%
- Individuals$53.3M14%
- Pension and profit-sharing plans$8.0M2.1%
- Corporations and businesses$374,9290.1%
- Individual clients
- 161reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 963reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $251M for 224 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
- T••••• H••••• W••••• to M•••••• W••••• M••••••••• L•Mar 11, 2025 · RIA to RIA
- P•••• P••••• G•••• to M•••••• W••••• M••••••••• L•Mar 11, 2025 · RIA to RIA
- D••••• W•••• R•••••• to M•••••• W••••• M••••••••• L•Mar 11, 2025 · RIA to RIA
Joined, latest
- D••••• W•••• R•••••• from W••••••• W••••• M•••••••••Nov 9, 2020 · RIA to RIA
- P•••• P••••• G•••• from I•••••• W••••• A•••••••• L••Oct 15, 2020 · Other
- T••••• H••••• W••••• from H•••••• A•••••••Feb 8, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•••••• W••••• M••••••••• L•Mar 11, 2025 · H••••••, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• T•••••• H••••• · President And Chief Compliance Officercontrolsince 10/2005 · owns 75% or more
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 |
|---|---|---|---|---|---|
| H••••••, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 860 to 963Mar 26, 2024 to Mar 3, 2025
- HNW clients · 92 to 107Mar 26, 2024 to Mar 3, 2025
- Individual clients · 167 to 161Mar 26, 2024 to Mar 3, 2025
- Assets in custody · $207M to $251MMar 26, 2024 to Mar 3, 2025
- Discretionary RAUM · $292M to $370MMar 26, 2024 to Mar 3, 2025
- HNW RAUM · $248M to $320MMar 26, 2024 to Mar 3, 2025
- Individual RAUM · $45.7M to $53.3MMar 26, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $2.2M to $11.0MMar 26, 2024 to Mar 3, 2025
- Pension RAUM · unset to 7989616.0Mar 26, 2024 to Mar 3, 2025
- RAUM · $294M to $381MMar 26, 2024 to Mar 3, 2025
- Accounts · 829 to 860Mar 13, 2023 to Mar 26, 2024
- Advisory activities · 1 to 2Mar 13, 2023 to Mar 26, 2024
- HNW clients · 83 to 92Mar 13, 2023 to Mar 26, 2024
- Individual clients · 165 to 167Mar 13, 2023 to Mar 26, 2024
- Assets in custody · $155M to $207MMar 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $226M to $292MMar 13, 2023 to Mar 26, 2024
- HNW RAUM · $190M to $248MMar 13, 2023 to Mar 26, 2024
- Individual RAUM · $36.8M to $45.7MMar 13, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.6M to $2.2MMar 13, 2023 to Mar 26, 2024
- RAUM · $227M to $294MMar 13, 2023 to Mar 26, 2024
- Accounts · 715 to 829Mar 21, 2022 to Mar 13, 2023
- HNW clients · 71 to 83Mar 21, 2022 to Mar 13, 2023
- Individual clients · 139 to 165Mar 21, 2022 to Mar 13, 2023
- Assets in custody · $174M to $155MMar 21, 2022 to Mar 13, 2023
- Discretionary RAUM · $253M to $226MMar 21, 2022 to Mar 13, 2023
- HNW RAUM · $217M to $190MMar 21, 2022 to Mar 13, 2023
- Individual RAUM · $38.5M to $36.8MMar 21, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $2.1M to $1.6MMar 21, 2022 to Mar 13, 2023
- RAUM · $255M to $227MMar 21, 2022 to Mar 13, 2023
- Accounts · 594 to 715Aug 23, 2021 to Mar 21, 2022
- HNW clients · 60 to 71Aug 23, 2021 to Mar 21, 2022
- Individual clients · 122 to 139Aug 23, 2021 to Mar 21, 2022
- Assets in custody · $97.9M to $174MAug 23, 2021 to Mar 21, 2022
- Discretionary RAUM · $153M to $253MAug 23, 2021 to Mar 21, 2022
- HNW RAUM · $123M to $217MAug 23, 2021 to Mar 21, 2022
- Individual RAUM · $29.5M to $38.5MAug 23, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $2.1M to $2.1MAug 23, 2021 to Mar 21, 2022
- Pension RAUM · 1562013.0 to unsetAug 23, 2021 to Mar 21, 2022
- RAUM · $155M to $255MAug 23, 2021 to Mar 21, 2022
- Accounts · 600 to 594Mar 25, 2021 to Aug 23, 2021
Signals
7 dated events
- L•••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $381.2M)May 2, 2025 · Left the SEC roster · derived
- P•••• P••••• G•••• left L•••• C•••••• M••••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2025-01-28)Mar 11, 2025 · Advisor changed firm · fact
- D••••• W•••• R•••••• left L•••• C•••••• M••••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2025-01-28)Mar 11, 2025 · Advisor changed firm · fact
- T••••• H••••• W••••• left L•••• C•••••• M••••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2025-01-28)Mar 11, 2025 · Advisor changed firm · fact
- L•••• C•••••• M••••••••• L••'s advisors moved to M•••••• W••••• M••••••••• L• (Houston, TX): 3 of 3 registered, on the same dayMar 11, 2025 · Firm absorbed (people side) · derived
- L•••• C•••••• M••••••••• L•• reported RAUM $255.4M, up 64% from $155.3M (2021-08-23 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- L•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 20, 2020 · 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