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••••••••• A•••••••
Legal name L••••••••• A•••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Jan 20, 2012 · 51 filings
SEC status approved since Aug 28, 2017
RAUM
$286M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
98%
$282M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$47.7M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$286M as of Jul 7, 2026
Jan 20, 2012$21.6M then
HNW client RAUM$238M as of Jul 7, 2026
Feb 20, 2018$70.1M then
State-registered IARs (5.B.3)7 as of Jul 7, 2026
Feb 20, 20187 then
Employees (5.A)10 as of Jul 7, 2026
Feb 20, 20189 then
Private funds2 as of Mar 29, 2022
Feb 20, 20181 then
RAUM +22% over the last fiscal year+13% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jul 7, 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
- $47.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $397,272derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $12.2M, 56 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$238M83%
- Individuals$43.9M15%
- Corporations and businesses$4.2M1.5%
- Charitable organizations$103,0750.0%
- Individual clients
- 115reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 720reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.2M for 56 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A•••• M••••••••• | Denver, Co | May 1, 2007 | 22 y | 1 |
| N••••••• S•••••• P•••••• | Denver, Co | Nov 18, 2011 | 16 y | 1 |
| S•••••••• L•••• S••••••••• | Denver, Co | Jun 6, 2016 | 12 y | 0 |
| B•••• W•••••• M•••••••• | Denver, Co | Jun 14, 2023 | 13 y | 0 |
| S••••• S••••• R••••• | Denver, Co | Jun 21, 2024 | 10 y | 1 |
| X••••• V•••••• L•••• | Denver, Co | Mar 17, 2025 | 11 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- K••••• H• H••••••• to M•••••• P•••••••Aug 12, 2026 · RIA to RIA
- L•••• C•••••• F•••• to I•••••• A••••••• L••Jan 8, 2025 · RIA to RIA
- D•••••• L••• Q•••• to W••••• F•••••••• A•••••••• L••Dec 11, 2020 · RIA to RIA
- G•••••• R••••• S••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••Oct 15, 2014 · Other
- J•••• M•••••• W•••• to P••••••• C•••••• A••••••• C•••••••••Mar 1, 2012 · Other
Joined, latest
- X••••• V•••••• L•••• from T•••••• C••••••• I•••Mar 17, 2025 · RIA to RIA
- K••••• H• H••••••• from B•••••• F••••••••• L••Nov 12, 2024 · RIA to RIA
- S••••• S••••• R••••• from B•••• S•••• G••••• L••Jun 21, 2024 · RIA to RIA
- D•••••• L••• Q•••• from L•• F•••••••• C••••••• L••Jan 9, 2019 · RIA to RIA
- J•••• M•••••• W•••• from W•••• F•••••••• P•••••••• L••Jan 11, 2012 · Other
- N••••••• S•••••• P•••••• from T••••••••• F•••••••• A•••••••• L••Nov 18, 2011 · Other
- R•••••• A•••• M••••••••• from M••••••••• M•••• M••••••••• I•••May 1, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••••• N••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- M••••••••• R••••••• A•••• · Managing Partnercontrolsince 01/2007 · owns 75% or more
- P••••••• N•••••••• S•••••• · Partner, Senior Advisorsince 01/2019 · owns less than 5%
- S••••••••• S••••••••• L•••• · Partner, Product Managersince 01/2019 · owns less than 5%
- S•••• A•••••• · Silent Partnersince 01/2007 · owns 5% to 10%
Related persons
Schedule D 7.A
- L••••••••• C••••••investment adviserpooled vehicle sponsornRAUM $157M
Advisers that list L••••••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 6 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · unset to 12236147.0Mar 31, 2026 to Jun 10, 2026
- Custody of client assets · false to trueMar 31, 2026 to Jun 10, 2026
- Accounts · 622 to 720Oct 14, 2025 to Mar 31, 2026
- HNW clients · 60 to 71Oct 14, 2025 to Mar 31, 2026
- Individual clients · 88 to 115Oct 14, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 2Oct 14, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 51-100Oct 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $174M to $218MOct 14, 2025 to Mar 31, 2026
- HNW RAUM · $188M to $238MOct 14, 2025 to Mar 31, 2026
- Individual RAUM · $40.0M to $43.9MOct 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $59.4M to $68.2MOct 14, 2025 to Mar 31, 2026
- RAUM · $234M to $286MOct 14, 2025 to Mar 31, 2026
- Accounts · 590 to 622Jul 11, 2024 to Mar 26, 2025
- Advisory employees · 5 to 7Jul 11, 2024 to Mar 26, 2025
- Advisory activities · 5 to 4Jul 11, 2024 to Mar 26, 2025
- HNW clients · 58 to 60Jul 11, 2024 to Mar 26, 2025
- Individual clients · 92 to 88Jul 11, 2024 to Mar 26, 2025
- Assets in custody · 10527835.0 to unsetJul 11, 2024 to Mar 26, 2025
- Custody of client assets · true to falseJul 11, 2024 to Mar 26, 2025
- Employees · 8 to 10Jul 11, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Jul 11, 2024 to Mar 26, 2025
- State-registered IARs · 5 to 7Jul 11, 2024 to Mar 26, 2025
- Discretionary RAUM · $160M to $174MJul 11, 2024 to Mar 26, 2025
- HNW RAUM · $184M to $188MJul 11, 2024 to Mar 26, 2025
- Individual RAUM · $38.2M to $40.0MJul 11, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $66.5M to $59.4MJul 11, 2024 to Mar 26, 2025
- RAUM · $227M to $234MJul 11, 2024 to Mar 26, 2025
- Accounts · 639 to 590Sep 5, 2023 to Mar 7, 2024
- HNW clients · 54 to 58Sep 5, 2023 to Mar 7, 2024
- Individual clients · 95 to 92Sep 5, 2023 to Mar 7, 2024
- Discretionary RAUM · $140M to $160MSep 5, 2023 to Mar 7, 2024
- HNW RAUM · $156M to $184MSep 5, 2023 to Mar 7, 2024
- Individual RAUM · $38.2M to $38.2MSep 5, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $58.5M to $66.5MSep 5, 2023 to Mar 7, 2024
- RAUM · $199M to $227MSep 5, 2023 to Mar 7, 2024
- Advisory activities · 4 to 5Mar 30, 2023 to Sep 5, 2023
- Other offices · 2 to 1Mar 30, 2023 to Sep 5, 2023
- Accounts · 829 to 639Oct 18, 2022 to Mar 30, 2023
- Advisory employees · 7 to 5Oct 18, 2022 to Mar 30, 2023
- HNW clients · 43 to 54Oct 18, 2022 to Mar 30, 2023
Signals
5 dated events
- K••••• H• H••••••• left L••••••••• A••••••• for M•••••• P••••••• (registered 2026-08-14)Aug 12, 2026 · Advisor changed firm · fact
- L•••• C•••••• F•••• left L••••••••• A••••••• for I•••••• A••••••• L•• (registered 2024-10-29)Jan 8, 2025 · Advisor changed firm · fact
- L••••••••• A••••••• reported RAUM $142.6M, down 99% from $14.3B (2019-03-25 to 2019-04-25)Apr 25, 2019 · RAUM change · derived
- L••••••••• A••••••• reported RAUM $14.3B, up 10997% from $128.5M (2018-05-07 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- L••••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 27, 2017 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@lgadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 720-593-9861reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/lotusgroup-capital/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/lotus-group-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720.593.9861reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- lgadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $47.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026