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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
J••••• P• L•••• • A••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 11, 2012 · 27 filings
SEC status approved since Apr 24, 2012
RAUM
$388M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$388M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$388M as of Mar 25, 2026
Mar 14, 2013$60.1M then
HNW client RAUM$245M as of Mar 25, 2026
Feb 17, 2018$19.6M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 14, 20131 then
Employees (5.A)5 as of Mar 25, 2026
Mar 14, 20135 then
Private funds: no history
RAUM +28% over the last fiscal year+9.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 221derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $235,868derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $67.1M, 246 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$245M63%
- Individuals$143M37%
- Individual clients
- 561reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,645reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.1M for 246 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• P••• L•••• | Yorktown Heights, Ny | Nov 8, 2010 | 24 y | 1 |
| J••• E• S•••• | Yorktown Heights, Ny | Jun 4, 2021 | 17 y | 0 |
| A•••••• P••••• | Yorktown Heights, Ny | Mar 27, 2023 | 21 y | 6 |
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
none on the tape
Joined, latest
- A•••••• P••••• from C••••••••• S••••••••• L••Mar 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• P••• L•••• from A••••••••• F•••••••• S•••••••• L••Nov 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••••• P••• · Managing Principal/Chief Compliance Officercontrolsince 07/2008 · 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 |
|---|---|---|---|---|---|
| Yorktown Heights, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 25, 2026discretionary share of RAUM moved from 60.0% to 100.0% between the annual amendments of 2025-03-11 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 17.0% to 63.0% between the annual amendments of 2025-03-11 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,818 to 1,645Mar 11, 2025 to Mar 25, 2026
- HNW clients · 28 to 101Mar 11, 2025 to Mar 25, 2026
- Individual clients · 776 to 561Mar 11, 2025 to Mar 25, 2026
- Assets in custody · $22.4M to $67.1MMar 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $181M to $388MMar 11, 2025 to Mar 25, 2026
- HNW RAUM · $51.8M to $245MMar 11, 2025 to Mar 25, 2026
- Individual RAUM · $251M to $143MMar 11, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $122M to $0Mar 11, 2025 to Mar 25, 2026
- RAUM · $303M to $388MMar 11, 2025 to Mar 25, 2026
- Accounts · 1,518 to 1,818Apr 22, 2024 to Mar 11, 2025
- HNW clients · 56 to 28Apr 22, 2024 to Mar 11, 2025
- Individual clients · 637 to 776Apr 22, 2024 to Mar 11, 2025
- Assets in custody · $63.8M to $22.4MApr 22, 2024 to Mar 11, 2025
- Financial planning clients · 11-25 to 11-25Apr 22, 2024 to Mar 11, 2025
- Discretionary RAUM · $217M to $181MApr 22, 2024 to Mar 11, 2025
- HNW RAUM · $172M to $51.8MApr 22, 2024 to Mar 11, 2025
- Individual RAUM · $138M to $251MApr 22, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $93.4M to $122MApr 22, 2024 to Mar 11, 2025
- RAUM · $310M to $303MApr 22, 2024 to Mar 11, 2025
- Accounts · 1,403 to 1,518Mar 14, 2023 to Feb 29, 2024
- Advisory employees · 2 to 3Mar 14, 2023 to Feb 29, 2024
- Advisory activities · 2 to 3Mar 14, 2023 to Feb 29, 2024
- BD registered reps · 1 to 2Mar 14, 2023 to Feb 29, 2024
- HNW clients · 52 to 56Mar 14, 2023 to Feb 29, 2024
- Individual clients · 594 to 637Mar 14, 2023 to Feb 29, 2024
- Assets in custody · unset to 63764689.0Mar 14, 2023 to Feb 29, 2024
- Custody of client assets · false to trueMar 14, 2023 to Feb 29, 2024
- State-registered IARs · 2 to 3Mar 14, 2023 to Feb 29, 2024
- Other offices · 1 to 0Mar 14, 2023 to Feb 29, 2024
- Discretionary RAUM · $247M to $217MMar 14, 2023 to Feb 29, 2024
- HNW RAUM · $170M to $172MMar 14, 2023 to Feb 29, 2024
- Individual RAUM · $124M to $138MMar 14, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $47.2M to $93.4MMar 14, 2023 to Feb 29, 2024
- RAUM · $294M to $310MMar 14, 2023 to Feb 29, 2024
- Accounts · 1,631 to 1,403Mar 4, 2022 to Mar 14, 2023
- HNW clients · 63 to 52Mar 4, 2022 to Mar 14, 2023
- Individual clients · 612 to 594Mar 4, 2022 to Mar 14, 2023
- Discretionary RAUM · $204M to $247MMar 4, 2022 to Mar 14, 2023
- HNW RAUM · $122M to $170MMar 4, 2022 to Mar 14, 2023
- Individual RAUM · $98.7M to $124MMar 4, 2022 to Mar 14, 2023
Signals
No event on the tape.
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 phone
- 914-352-6600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 914-352-6601reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-352-6600reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- LUCIAANDASSOCIATES.NET/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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026