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
L••••••••• F••••••••
Legal name L••••••••• F•••••••• W••••• M••••••••• L••
Latest filing Dec 5, 2023
First filing on the tape Aug 5, 2021 · 6 filings
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$101M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$101M as of Dec 5, 2023
Dec 1, 2021$107M then
HNW client RAUM$54.6M as of Dec 5, 2023
Dec 1, 2021$57.7M then
State-registered IARs (5.B.3)3 as of Dec 5, 2023
Dec 1, 20213 then
Employees (5.A)4 as of Dec 5, 2023
Dec 1, 20214 then
Private funds: no history
RAUM +0.1% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Dec 5, 2023; every figure names its basis
- RAUM per advisor
- $33.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $250,320derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$54.6M54%
- Individuals$46.1M46%
- Individual clients
- 140reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 402reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- 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
- R••• C••••••••• B••••••• to A••••••••• I••••••••• A•••••••Apr 17, 2024 · RIA to RIA
- M•••• P•••••• W•••••• to A••••••••• I••••••••• A•••••••Apr 17, 2024 · RIA to RIA
- R••• J••••• B••••••• to V••••••• A•••••••• I•••Jun 22, 2016 · Other
Joined, latest
- R••• C••••••••• B••••••• from E••••• J••••Oct 1, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• K••••••• P••• · Managing Member/Chief Compliance Officercontrolsince 12/2005 · owns 50% to 75%
- B•••••••• J••• · Membersince 12/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••••••• I••••••••• A•••••••investment advisern
- K•••••• B•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ft Meyers, Fl | 0 | 0 | 0 | ||
| Wilmington, De · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 405 to 402Nov 22, 2022 to Dec 5, 2023
- Charity clients · 2 to 0Nov 22, 2022 to Dec 5, 2023
- HNW clients · 27 to 25Nov 22, 2022 to Dec 5, 2023
- Individual clients · 118 to 140Nov 22, 2022 to Dec 5, 2023
- Insurance-licensed employees · 0 to 1Nov 22, 2022 to Dec 5, 2023
- Financial planning clients · 0 to 1-10Nov 22, 2022 to Dec 5, 2023
- Discretionary RAUM · $101M to $101MNov 22, 2022 to Dec 5, 2023
- HNW RAUM · $56.1M to $54.6MNov 22, 2022 to Dec 5, 2023
- Individual RAUM · $43.3M to $46.1MNov 22, 2022 to Dec 5, 2023
- RAUM · $101M to $101MNov 22, 2022 to Dec 5, 2023
- Related adviser · false to trueNov 22, 2022 to Dec 5, 2023
- Accounts · 427 to 405Dec 1, 2021 to Nov 22, 2022
- Charity clients · 1 to 2Dec 1, 2021 to Nov 22, 2022
- HNW clients · 28 to 27Dec 1, 2021 to Nov 22, 2022
- Individual clients · 121 to 118Dec 1, 2021 to Nov 22, 2022
- Financial planning clients · 1-10 to 0Dec 1, 2021 to Nov 22, 2022
- Discretionary RAUM · $107M to $101MDec 1, 2021 to Nov 22, 2022
- HNW RAUM · $57.7M to $56.1MDec 1, 2021 to Nov 22, 2022
- Individual RAUM · $48.4M to $43.3MDec 1, 2021 to Nov 22, 2022
- RAUM · $107M to $101MDec 1, 2021 to Nov 22, 2022
- HNW RAUM · $57.1M to $57.7MSep 8, 2021 to Dec 1, 2021
- Individual RAUM · $48.4M to $48.4MSep 8, 2021 to Dec 1, 2021
- RAUM · $106M to $107MSep 8, 2021 to Dec 1, 2021
- Discretionary RAUM · $106M to $107MSep 8, 2021 to Dec 1, 2021
Signals
3 dated events
- R••• C••••••••• B••••••• left L••••••••• F•••••••• for A••••••••• I••••••••• A••••••• (registered 2023-07-24)Apr 17, 2024 · Advisor changed firm · fact
- M•••• P•••••• W•••••• left L••••••••• F•••••••• for A••••••••• I••••••••• A••••••• (registered 2025-03-13)Apr 17, 2024 · Advisor changed firm · fact
- L••••••••• F•••••••• filed its initial SEC registration (Form ADV)Aug 5, 2021 · 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