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•••• M•••••••••
Legal name L•••• A•••• M••••••••• L••
Latest filing May 20, 2026
First filing on the tape Nov 7, 2011 · 29 filings
SEC status approved since Sep 2, 2020
RAUM
$387M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$385M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$77.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$387M as of May 20, 2026
Mar 19, 2012$37.8M then
HNW client RAUM$345M as of May 20, 2026
Mar 8, 2021$84.0M then
State-registered IARs (5.B.3)5 as of May 20, 2026
Mar 19, 20120 then
Employees (5.A)5 as of May 20, 2026
Mar 8, 20213 then
Private funds: no history
RAUM +81% over the last fiscal year+36% a year over threeIARs 3 to 5
Practice profile
derived from the filing of May 20, 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
- $77.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $613,392derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +81%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $105M, 84 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$345M89%
- Individuals$39.8M10%
- Corporations and businesses$1.5M0.4%
- Pension and profit-sharing plans$775,6710.2%
- Individual clients
- 167reported
- HNW clients
- 109reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 631reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $105M for 84 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••••• L•••• | Lafayette, Ca | May 1, 2007 | 29 y | 1 |
| M••• P••••••• | Pittston, Pa | Jun 10, 2017 | 23 y | 2 |
| E••• P••• A••••••• | Pittston, Pa | Jun 10, 2017 | 30 y | 1 |
| D•••• W•••••••• | Lafayette, Ca | May 2, 2025 | 25 y | 0 |
| J••••• F•••••••• M•••••••• | Lafayette, Ca | May 2, 2025 | 33 y | 2 |
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
- J••• C••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 7, 2011 · Other
Joined, latest
- J••••• F•••••••• M•••••••• from B•••••••• I••••••••• M••••••••• L••May 2, 2025 · Other
- M••• P••••••• from I••••••••• C•••••• M••••••••• I•••Jun 10, 2017 · Other
- E••• P••• A••••••• from F•• S••••••••• C•••••••••Jun 10, 2017 · Other
- J••• C••••• from T• A••••••••• I••••••••• M••••••••• L••Mar 1, 2011 · Other
- D•••• W•••••• L•••• from C•••••••• G••••• M•••••• I•••May 1, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• D••••• W•••••• · Managing Member/Chief Compliance Officercontrolsince 02/2007 · 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 |
|---|---|---|---|---|---|
| Lafayette, Ca · principal | 5 | 0 | 0 | ||
| Pittston, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pittston, PA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Jan 13, 2026RAUM (Item 5.F) moved from $214,315,704 to $387,050,385 (+81.0%) between the annual amendments of 2025-01-29 and 2026-01-13; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 542 to 631Sep 5, 2025 to Jan 13, 2026
- HNW clients · 76 to 109Sep 5, 2025 to Jan 13, 2026
- Individual clients · 160 to 167Sep 5, 2025 to Jan 13, 2026
- Assets in custody · $45.0M to $105MSep 5, 2025 to Jan 13, 2026
- Financial planning clients · 0 to 1-10Sep 5, 2025 to Jan 13, 2026
- Discretionary RAUM · $210M to $383MSep 5, 2025 to Jan 13, 2026
- HNW RAUM · $175M to $345MSep 5, 2025 to Jan 13, 2026
- Individual RAUM · $37.6M to $39.8MSep 5, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $4.4M to $4.5MSep 5, 2025 to Jan 13, 2026
- Pension RAUM · $632,176 to $775,671Sep 5, 2025 to Jan 13, 2026
- RAUM · $214M to $387MSep 5, 2025 to Jan 13, 2026
- Financial planning clients · 0 to 0Aug 7, 2025 to Sep 5, 2025
- Advisory employees · 3 to 5Jan 29, 2025 to May 7, 2025
- Employees · 3 to 5Jan 29, 2025 to May 7, 2025
- State-registered IARs · 3 to 5Jan 29, 2025 to May 7, 2025
- Accounts · 239 to 542Nov 25, 2024 to Jan 29, 2025
- Corporate clients · 1 to 5Nov 25, 2024 to Jan 29, 2025
- HNW clients · 64 to 76Nov 25, 2024 to Jan 29, 2025
- Individual clients · 175 to 160Nov 25, 2024 to Jan 29, 2025
- Pension plan clients · 0 to 1Nov 25, 2024 to Jan 29, 2025
- Assets in custody · $82.3M to $45.0MNov 25, 2024 to Jan 29, 2025
- Discretionary RAUM · $167M to $210MNov 25, 2024 to Jan 29, 2025
- HNW RAUM · $41.3M to $175MNov 25, 2024 to Jan 29, 2025
- Individual RAUM · $134M to $37.6MNov 25, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $9.0M to $4.4MNov 25, 2024 to Jan 29, 2025
- Pension RAUM · $0 to $632,176Nov 25, 2024 to Jan 29, 2025
- RAUM · $176M to $214MNov 25, 2024 to Jan 29, 2025
- Advisory activities · 2 to 3Aug 15, 2024 to Nov 13, 2024
- Assets in custody · unset to 82251659.0Aug 15, 2024 to Nov 13, 2024
- Custody of client assets · false to trueAug 15, 2024 to Nov 13, 2024
- Accounts · 225 to 239Mar 8, 2023 to Mar 5, 2024
- Corporate clients · 4 to 1Mar 8, 2023 to Mar 5, 2024
- HNW clients · 59 to 64Mar 8, 2023 to Mar 5, 2024
- Individual clients · 159 to 175Mar 8, 2023 to Mar 5, 2024
- Discretionary RAUM · $138M to $167MMar 8, 2023 to Mar 5, 2024
- HNW RAUM · $118M to $41.3MMar 8, 2023 to Mar 5, 2024
- Individual RAUM · $34.9M to $134MMar 8, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $15.6M to $9.0MMar 8, 2023 to Mar 5, 2024
- RAUM · $154M to $176MMar 8, 2023 to Mar 5, 2024
- Accounts · 451 to 225Sep 26, 2022 to Mar 8, 2023
Signals
2 dated events
- L•••• A•••• M••••••••• reported RAUM $387.1M, up 81% from $214.3M (2025-09-05 to 2026-01-13)Jan 13, 2026 · RAUM change · derived
- L•••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Aug 5, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@lewisam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dave@lewisam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- natasha@lewisam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-284-4033reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 347-399-7940reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- L••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-284-4033reportedpublic record, Form ADV, May 20, 2026
- Team page
- LEWISAM.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $77.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026