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••••• F•••••••• S••••••• G••••• I•••
Latest filing May 19, 2026
First filing on the tape Aug 22, 2012 · 9 filings
SEC status approved since Jun 18, 2026
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$121M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$123M as of May 19, 2026
Mar 28, 2013$97.1M then
HNW client RAUM: $83.2M
State-registered IARs (5.B.3)2 as of May 19, 2026
Mar 28, 20132 then
Employees (5.A)2 as of May 19, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of May 19, 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
- RAUM per advisor
- $61.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $344,023derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $96.0M, 355 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)
- 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)
- 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$83.2M68%
- Individuals$38.0M31%
- Pension and profit-sharing plans$1.6M1.3%
- Individual clients
- 148reported
- HNW clients
- 35reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 357reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $96.0M for 355 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| K•••• L••• K••••••••• | Saint Johns, Fl | Aug 22, 2012 | 22 y | 1 |
| C•••••• M•••• W•••• | Traverse City, Mi | Mar 23, 2015 | 11 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
- W••••• C••••••• M•••• · Chief Compliance Officercontrolsince 07/2007 · owns less than 5%
- W••••• D••••• E••••• · Presidentcontrolsince 04/2006 · 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 |
|---|---|---|---|---|---|
| Traverse City, Mi · principal | 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
- custody status changedChange between filings · filing May 19, 2026custody of client assets (Item 9.A): no on the filing of 2014-08-26, yes on the filing of 2026-05-19peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing May 19, 2026commissions (Item 5.E.5): yes on the filing of 2014-08-26, no on the filing of 2026-05-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 442 to 357Aug 26, 2014 to May 19, 2026
- Advisory employees · 1 to 2Aug 26, 2014 to May 19, 2026
- Advisory activities · 3 to 2Aug 26, 2014 to May 19, 2026
- Charity clients · unset to 0.0Aug 26, 2014 to May 19, 2026
- Corporate clients · unset to 0.0Aug 26, 2014 to May 19, 2026
- HNW clients · unset to 35.0Aug 26, 2014 to May 19, 2026
- Individual clients · unset to 148.0Aug 26, 2014 to May 19, 2026
- Pension plan clients · unset to 1.0Aug 26, 2014 to May 19, 2026
- Pooled vehicle clients · unset to 0.0Aug 26, 2014 to May 19, 2026
- Commission compensation · true to falseAug 26, 2014 to May 19, 2026
- Assets in custody · unset to 96000000.0Aug 26, 2014 to May 19, 2026
- Custody of client assets · false to trueAug 26, 2014 to May 19, 2026
- Financial planning clients · 0 to 0Aug 26, 2014 to May 19, 2026
- State-registered IARs · 1 to 2Aug 26, 2014 to May 19, 2026
- Other offices · unset to 2.0Aug 26, 2014 to May 19, 2026
- Discretionary RAUM · $80.5M to $123MAug 26, 2014 to May 19, 2026
- HNW RAUM · unset to 83197078.0Aug 26, 2014 to May 19, 2026
- Individual RAUM · unset to 38037916.0Aug 26, 2014 to May 19, 2026
- Pension RAUM · unset to 1581284.0Aug 26, 2014 to May 19, 2026
- Pooled vehicle RAUM · unset to 0.0Aug 26, 2014 to May 19, 2026
- RAUM · $80.5M to $123MAug 26, 2014 to May 19, 2026
- Accounts · 566 to 442Mar 19, 2014 to Aug 26, 2014
- Discretionary RAUM · $97.5M to $80.5MMar 19, 2014 to Aug 26, 2014
- RAUM · $97.5M to $80.5MMar 19, 2014 to Aug 26, 2014
- Accounts · 397 to 566Nov 12, 2013 to Mar 19, 2014
- Advisory employees · 2 to 1Nov 12, 2013 to Mar 19, 2014
- Advisory activities · 4 to 3Nov 12, 2013 to Mar 19, 2014
- Business name · L••••• F•••••••• S••••••• G••••• L•• to L••••• F•••••••• S••••••• G••••• I•••Nov 12, 2013 to Mar 19, 2014
- State-registered IARs · 2 to 1Nov 12, 2013 to Mar 19, 2014
- Legal name · L••••• F•••••••• S••••••• G••••• L•• to L••••• F•••••••• S••••••• G••••• I•••Nov 12, 2013 to Mar 19, 2014
- Discretionary RAUM · $97.1M to $97.5MNov 12, 2013 to Mar 19, 2014
- RAUM · $97.1M to $97.5MNov 12, 2013 to Mar 19, 2014
- Legal name · L••••• F•••••••• S••••••• G••••• I••• to L••••• F•••••••• S••••••• G••••• L••Oct 30, 2013 to Nov 12, 2013
- Legal name · L••••• F•••••••• S••••••• G••••• L•• to L••••• F•••••••• S••••••• G••••• I•••Jul 30, 2013 to Oct 30, 2013
- Succession · true to falseJul 30, 2013 to Oct 30, 2013
- Succession · false to trueMar 28, 2013 to Jul 30, 2013
- Accounts · 517 to 397Aug 22, 2012 to Mar 28, 2013
- Advisory employees · unset to 2.0Aug 22, 2012 to Mar 28, 2013
- Advisory activities · 6 to 4Aug 22, 2012 to Mar 28, 2013
- Employees · unset to 2.0Aug 22, 2012 to Mar 28, 2013
Signals
1 dated events
- L••••• F•••••••• S••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 30, 2013 · Succession (Item 4) · 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
- info@discoverlegacy.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 231-933-0631reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- discoverlegacy.netreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 231-933-0631reportedpublic record, Form ADV, May 19, 2026
- Contact form
- discoverlegacy.net/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- discoverlegacy.net/teamreportedpublished by the firm, firm site, Sep 16, 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
- $61.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026