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•••• M•• • A••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Mar 22, 2012 · 49 filings
RAUM
$424M
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
98%
$416M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$424M as of Mar 29, 2019
Mar 22, 2012$375M then
HNW client RAUM$74.2M as of Mar 29, 2019
Feb 2, 2018$53.7M then
State-registered IARs (5.B.3)2 as of Mar 29, 2019
Feb 4, 201317 then
Employees (5.A)2 as of Mar 29, 2019
Feb 4, 201328 then
Private funds: no history
RAUM -4.5% over the last fiscal year+12% a year over threeIARs 15 to 2
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $212MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 359derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $363,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -87%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$342M81%
- High-net-worth individuals$74.2M17%
- Pension and profit-sharing plans$4.3M1.0%
- Charitable organizations$3.2M0.8%
- Corporations and businesses$218,4060.1%
- Individual clients
- 701reported
- HNW clients
- 17reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 1,166reported
- Financial planning clients
- 251-500reported
- 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•••••• J•••• G•• to X•• F•••••••• G••••Feb 1, 2019 · RIA to RIA
- P••• W•••• C••••• to X•• F•••••••• G••••Feb 1, 2019 · RIA to RIA
- E••••• R••••• L••• to X•• F•••••••• G••••Feb 1, 2019 · RIA to RIA
- M••• C•••••• M••••• to S•••• W••••• M••••••••• L••Nov 30, 2015 · Other
- S••••••• D••••• N•••••• to S•••• W••••• M••••••••• L••Feb 23, 2015 · Other
- W•••• A•• P•••• to S•••• W••••• M••••••••• L••Feb 23, 2015 · Other
- C••••• A•••••• R••••• to L•• F•••••••• L••Nov 4, 2013 · Other
- R•••••• R••••• to H••• S••••••••• •••• I•••Jul 2, 2013 · Other
- R••• P•••••• J•••• to P•• S••••••• C•••••• M••••••••• L••Mar 21, 2013 · Other
- T••••••• J•••• D•••••• to P•••••• W••••• M••••••••• L••Jun 5, 2012 · Other
- G•••••• D••• M•••••••• to P•••••• W••••• M••••••••• L••May 21, 2012 · Other
- M•••••• A•••• V•••••• to M•• I•••••••• S•••••••• L••Nov 10, 2011 · Other
- R•••••• E• B•••••• to M••••• S••••••Mar 8, 2011 · Other
- J••••••• L•• W•••••• to M••••••••• C•••••• S••••••••• L••Jul 6, 2010 · Other
Joined, latest
- C••••• A•••••• R••••• from A••••••• F•••••••• A•••••••• L••Jul 17, 2012 · Other
- R•••••• R••••• from B••• I••••••••• S•••••••• I•••Jun 11, 2012 · Other
- M•••••• A•••• V•••••• from J••• M••••• S••••••••• L••Mar 2, 2011 · Other
- R•••••• J•••• G•• from M••••• S••••••Mar 19, 2010 · Other
- R•••••• E• B•••••• from M••••• S••••••Mar 8, 2010 · Other
- P••• W•••• C••••• from M••••• S••••••Jul 22, 2009 · Other
- G•••••• D••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 9, 2008 · Other
- M••• C•••••• M••••• from L•••• S•••• • M••• L••Jan 4, 2008 · Other
- T••••••• J•••• D•••••• from L•••• S•••• • M••• L••Jan 4, 2008 · Other
- R••• P•••••• J•••• from L•••• S•••• • M••• L••Jan 4, 2008 · Other
- S••••••• D••••• N•••••• from L•••• S•••• • M••• L••Jan 4, 2008 · Other
- W•••• A•• P•••• from L•••• S•••• • M••• L••Jan 4, 2008 · Other
- E••••• R••••• L••• from L•••• S•••• • M••• L••Jan 2, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for X•• F•••••••• G••••Feb 1, 2019 · Rockville, Md · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• R••••• D•••• · Chief Executive Officercontrolsince 02/2019 · owns less than 5%
- S••••• J••••••• L••• · Chief Compliance Officer, Finopcontrolsince 05/2013 · owns less than 5%
- B••••••••• B•••• S•••• · Chairmansince 02/2019 · owns less than 5%
- C••••••• C••••• J•••••• · Presidentsince 02/2019 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · 100 % Ownerdirect · owns 75% or more
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L•• · public reporting company
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- X•• F•••••••• G••••investment adviseryRAUM $3.3B
Advisers that list L•••• M•• • A••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Frisco, CO2 employees
What changed
consecutive filings, newest first
- Accounts · 1,079 to 1,166Mar 4, 2019 to Mar 29, 2019
- Advisory employees · 1 to 2Mar 4, 2019 to Mar 29, 2019
- HNW clients · 12 to 17Mar 4, 2019 to Mar 29, 2019
- Individual clients · 1,031 to 701Mar 4, 2019 to Mar 29, 2019
- Pension plan clients · 16 to 6Mar 4, 2019 to Mar 29, 2019
- Assets in custody · $435M to $422MMar 4, 2019 to Mar 29, 2019
- Employees · 3 to 2Mar 4, 2019 to Mar 29, 2019
- Financial planning clients · More than 500 to 251-500Mar 4, 2019 to Mar 29, 2019
- Discretionary RAUM · $148M to $151MMar 4, 2019 to Mar 29, 2019
- HNW RAUM · $53.7M to $74.2MMar 4, 2019 to Mar 29, 2019
- Individual RAUM · $382M to $342MMar 4, 2019 to Mar 29, 2019
- Non-discretionary RAUM · $296M to $273MMar 4, 2019 to Mar 29, 2019
- Pension RAUM · $5.6M to $4.3MMar 4, 2019 to Mar 29, 2019
- Pooled vehicle RAUM · unset to 0.0Mar 4, 2019 to Mar 29, 2019
- RAUM · $444M to $424MMar 4, 2019 to Mar 29, 2019
- Advisory employees · 13 to 1Feb 1, 2019 to Mar 4, 2019
- Advisory activities · 4 to 3Feb 1, 2019 to Mar 4, 2019
- BD registered reps · 18 to 2Feb 1, 2019 to Mar 4, 2019
- Employees · 23 to 3Feb 1, 2019 to Mar 4, 2019
- Insurance-licensed employees · 0 to 1Feb 1, 2019 to Mar 4, 2019
- State-registered IARs · 15 to 2Feb 1, 2019 to Mar 4, 2019
- Wrap assets (manager) · 0.0 to unsetFeb 1, 2019 to Mar 4, 2019
- Wrap assets (sponsor) · 2282025.0 to unsetFeb 1, 2019 to Mar 4, 2019
- Advisory employees · 15 to 13Feb 2, 2018 to Apr 2, 2018
- Employees · 19 to 23Feb 2, 2018 to Apr 2, 2018
- Accounts · 958 to 1,079Sep 28, 2017 to Feb 2, 2018
- Advisory employees · 14 to 15Sep 28, 2017 to Feb 2, 2018
- Advisory activities · 3 to 4Sep 28, 2017 to Feb 2, 2018
- BD registered reps · 17 to 18Sep 28, 2017 to Feb 2, 2018
- HNW clients · unset to 12.0Sep 28, 2017 to Feb 2, 2018
- Individual clients · unset to 1031.0Sep 28, 2017 to Feb 2, 2018
- Pension plan clients · unset to 16.0Sep 28, 2017 to Feb 2, 2018
- Pooled vehicle clients · unset to 0.0Sep 28, 2017 to Feb 2, 2018
- Assets in custody · $351M to $435MSep 28, 2017 to Feb 2, 2018
- Custody of client assets · true to falseSep 28, 2017 to Feb 2, 2018
- Employees · 22 to 19Sep 28, 2017 to Feb 2, 2018
- State-registered IARs · 14 to 15Sep 28, 2017 to Feb 2, 2018
- Other offices · unset to 1.0Sep 28, 2017 to Feb 2, 2018
- Discretionary RAUM · $92.5M to $148MSep 28, 2017 to Feb 2, 2018
- HNW RAUM · unset to 53685105.0Sep 28, 2017 to Feb 2, 2018
Signals
4 dated events
- Robert David Kantor (Chief Executive Officer) appeared on Schedule A of L•••• M•• • A••••••••• L••Mar 29, 2019 · Control person joined · fact
- L•••• M•• • A••••••••• L•• reported 2 state-registered advisory representatives, down from 15 (2019-02-01 to 2019-03-04)Mar 4, 2019 · Advisor headcount change · derived
- E••••• R••••• L••• (President & Ceo) no longer on Schedule A of L•••• M•• • A••••••••• L•• (listed 2019-02-01, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
- L•••• M•• • A••••••••• L•• reported RAUM $443.9M, up 38% from $322.3M (2017-09-28 to 2018-02-02)Feb 2, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- X•• S••••••••• · Private Equityshared crd · intermediary
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