DFX Intelligence

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L••••• I••••••••• C••••••••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $220M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $220M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +14%
Private clients: 97%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $193M to $220M (+13.9%) on the Form ADV filed 27 Mar 2026.

Every filed figure, and the identifiersCRD 143178 · SEC 801-67831 · 16 filingsShow

CRD 143178SEC 801-67831First filing on the tape Mar 26, 2012, latest Mar 27, 2026SEC status approved since Apr 27, 2007IAPD

RAUM

$220M

reported, Item 5.F

Discretionary

72%

of RAUM

Private clients

97%

$214M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$220M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 26, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$220M as of Mar 27, 2026

Mar 26, 2012$126M then

HNW client RAUM$205M as of Mar 27, 2026

Mar 29, 2018$144M then

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 26, 20120 then

Employees (5.A)1 as of Mar 27, 2026

Mar 28, 20131 then

Private funds: no history

RAUM +14% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $220MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 32derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $7.6MderivedHNW RAUM over HNW clients
Average account: $1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 72%derivedof RAUM
Institutional: 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -8.6%derived
Compensation: fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

93% high-net-worth individuals, 4.0% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$205M93%
Individuals$8.7M4.0%
Charitable organizations$6.3M2.8%

Individual clients: 5reported
HNW clients: 27reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 137reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: RAUM: 97% private clients, 0% pooled funds, 3% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D••••• C••• L•••••Certified Financial Planner	Steamboat Springs, Co	May 2, 2007	28 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L•••••• D•••••• C••• · Managing Member/Chief Compliance Officercontrol
since 01/2007 · owns 75% or more

Related persons

Schedule D 7.A

D••••• C••• L•••••
insurancey

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

unusually large average HNW clientStatic outlier · filing Mar 27, 2026
HNW RAUM per HNW client of $7,602,802 against a peer median of $2,402,920 (4944 comparable advisers, 98.0th percentile, 3.5 robust deviations)
peers: independent wealth managers, $100M to $500M (4,944) · 98% percentile
discretionary share shiftChange between filings · filing Mar 27, 2026
discretionary share of RAUM moved from 55.0% to 72.0% between the annual amendments of 2025-03-26 and 2026-03-27
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 140 to 137
Mar 26, 2025 to Mar 27, 2026
Individual clients · 8 to 5
Mar 26, 2025 to Mar 27, 2026
Discretionary RAUM · $106M to $160M
Mar 26, 2025 to Mar 27, 2026
HNW RAUM · $179M to $205M
Mar 26, 2025 to Mar 27, 2026
Individual RAUM · $7.9M to $8.7M
Mar 26, 2025 to Mar 27, 2026

Full history · 80 changes

Non-discretionary RAUM · $87.3M to $60.6M
Mar 26, 2025 to Mar 27, 2026
RAUM · $193M to $220M
Mar 26, 2025 to Mar 27, 2026
Accounts · 136 to 140
Mar 29, 2024 to Mar 26, 2025
Financial planning clients · 1-10 to 1-10
Mar 29, 2024 to Mar 26, 2025
HQ city · unset to
Mar 29, 2024 to Mar 26, 2025
HQ state · unset to
Mar 29, 2024 to Mar 26, 2025
Discretionary RAUM · $98.0M to $106M
Mar 29, 2024 to Mar 26, 2025
HNW RAUM · $168M to $179M
Mar 29, 2024 to Mar 26, 2025
Individual RAUM · $7.1M to $7.9M
Mar 29, 2024 to Mar 26, 2025
Non-discretionary RAUM · $83.2M to $87.3M
Mar 29, 2024 to Mar 26, 2025
RAUM · $181M to $193M
Mar 29, 2024 to Mar 26, 2025
Accounts · 131 to 136
Mar 30, 2023 to Mar 29, 2024
HNW clients · 25 to 27
Mar 30, 2023 to Mar 29, 2024
Discretionary RAUM · $67.9M to $98.0M
Mar 30, 2023 to Mar 29, 2024
HNW RAUM · $147M to $168M
Mar 30, 2023 to Mar 29, 2024
Individual RAUM · $7.3M to $7.1M
Mar 30, 2023 to Mar 29, 2024
Non-discretionary RAUM · $91.9M to $83.2M
Mar 30, 2023 to Mar 29, 2024
RAUM · $160M to $181M
Mar 30, 2023 to Mar 29, 2024
Accounts · 137 to 131
Apr 1, 2022 to Mar 30, 2023
Individual clients · 7 to 8
Apr 1, 2022 to Mar 30, 2023
Discretionary RAUM · $76.0M to $67.9M
Apr 1, 2022 to Mar 30, 2023
HNW RAUM · $170M to $147M
Apr 1, 2022 to Mar 30, 2023
Individual RAUM · $5.9M to $7.3M
Apr 1, 2022 to Mar 30, 2023
Non-discretionary RAUM · $107M to $91.9M
Apr 1, 2022 to Mar 30, 2023
RAUM · $182M to $160M
Apr 1, 2022 to Mar 30, 2023
Accounts · 254 to 137
Mar 25, 2021 to Apr 1, 2022
HNW clients · 26 to 25
Mar 25, 2021 to Apr 1, 2022
Individual clients · 5 to 7
Mar 25, 2021 to Apr 1, 2022
Discretionary RAUM · $73.6M to $76.0M
Mar 25, 2021 to Apr 1, 2022
HNW RAUM · $152M to $170M
Mar 25, 2021 to Apr 1, 2022
Individual RAUM · $1.4M to $5.9M
Mar 25, 2021 to Apr 1, 2022
Non-discretionary RAUM · $87.2M to $107M
Mar 25, 2021 to Apr 1, 2022
RAUM · $161M to $182M
Mar 25, 2021 to Apr 1, 2022
Accounts · 103 to 254
Jun 30, 2020 to Mar 25, 2021
Discretionary RAUM · $106M to $73.6M
Jun 30, 2020 to Mar 25, 2021
HNW RAUM · $133M to $152M
Jun 30, 2020 to Mar 25, 2021
Individual RAUM · $1.6M to $1.4M
Jun 30, 2020 to Mar 25, 2021
Non-discretionary RAUM · $36.0M to $87.2M
Jun 30, 2020 to Mar 25, 2021
RAUM · $142M to $161M
Jun 30, 2020 to Mar 25, 2021
Accounts · 105 to 103
Apr 2, 2019 to Mar 31, 2020
HNW clients · 27 to 26
Apr 2, 2019 to Mar 31, 2020
Individual clients · unset to 5.0
Apr 2, 2019 to Mar 31, 2020
Discretionary RAUM · $97.8M to $106M
Apr 2, 2019 to Mar 31, 2020
HNW RAUM · $129M to $133M
Apr 2, 2019 to Mar 31, 2020
Individual RAUM · $1.2M to $1.6M
Apr 2, 2019 to Mar 31, 2020
Non-discretionary RAUM · $39.4M to $36.0M
Apr 2, 2019 to Mar 31, 2020
RAUM · $137M to $142M
Apr 2, 2019 to Mar 31, 2020
Accounts · 109 to 105
Mar 29, 2018 to Apr 2, 2019
Assets in custody · 0.0 to unset
Mar 29, 2018 to Apr 2, 2019
Discretionary RAUM · $112M to $97.8M
Mar 29, 2018 to Apr 2, 2019
HNW RAUM · $144M to $129M
Mar 29, 2018 to Apr 2, 2019
Individual RAUM · $1.2M to $1.2M
Mar 29, 2018 to Apr 2, 2019
Non-discretionary RAUM · $41.6M to $39.4M
Mar 29, 2018 to Apr 2, 2019
RAUM · $154M to $137M
Mar 29, 2018 to Apr 2, 2019
Accounts · 99 to 109
Mar 13, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
HNW clients · unset to 27.0
Mar 13, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
Assets in custody · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
Discretionary RAUM · $63.1M to $112M
Mar 13, 2017 to Mar 29, 2018
HNW RAUM · unset to 144023387.0
Mar 13, 2017 to Mar 29, 2018
Individual RAUM · unset to 1208130.0
Mar 13, 2017 to Mar 29, 2018
Non-discretionary RAUM · $73.7M to $41.6M
Mar 13, 2017 to Mar 29, 2018
Pension RAUM · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 13, 2017 to Mar 29, 2018
RAUM · $137M to $154M
Mar 13, 2017 to Mar 29, 2018
Accounts · 92 to 99
Apr 1, 2016 to Mar 13, 2017
Discretionary RAUM · $55.5M to $63.1M
Apr 1, 2016 to Mar 13, 2017
Non-discretionary RAUM · $70.8M to $73.7M
Apr 1, 2016 to Mar 13, 2017
RAUM · $126M to $137M
Apr 1, 2016 to Mar 13, 2017
Accounts · 85 to 92
Mar 30, 2015 to Apr 1, 2016
Discretionary RAUM · $35.7M to $55.5M
Mar 30, 2015 to Apr 1, 2016
Non-discretionary RAUM · $96.4M to $70.8M
Mar 30, 2015 to Apr 1, 2016

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

L••••• I••••••••• C••••••••• L•• · Private Equity
same CRD · intermediary

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $220Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026