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••••• A•••••••
Legal name L••••• F•••••••• A••••••• L••
Latest filing Feb 26, 2014
First filing on the tape Dec 5, 2011 · 14 filings
RAUM
$100M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$100M as of Feb 26, 2014
Dec 5, 2011$54.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 26, 2014
Dec 5, 20110 then
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 26, 2014; every figure names its basis
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $299,568derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 335reported
- Financial planning clients
- 26-50reported
- 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
- H••••••• K••• B••••• to B••••• W••••• A•••••••• L••Oct 23, 2012 · Other
Joined, latest
- H••••••• K••• B••••• from N••••••••• S••••••••• L••Jul 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• K••• W•••••••• · Managing Member, Chief Compliance Officercontrolsince 09/2009 · owns 75% or more
- L•••••• K••• W•••••••• · Managing Membercontrolsince 08/2009 · owns 75% or more of L••••• Financial Advisors, LLC
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Middletown, DE
What changed
consecutive filings, newest first
- Accounts · 417 to 335Aug 29, 2012 to Feb 26, 2014
- Advisory employees · unset to 1.0Aug 29, 2012 to Feb 26, 2014
- BD registered reps · unset to 1.0Aug 29, 2012 to Feb 26, 2014
- Commission compensation · true to falseAug 29, 2012 to Feb 26, 2014
- Employees · unset to 3.0Aug 29, 2012 to Feb 26, 2014
- Financial planning clients · 11-25 to 26-50Aug 29, 2012 to Feb 26, 2014
- State-registered IARs · 0 to 1Aug 29, 2012 to Feb 26, 2014
- Discretionary RAUM · $75.0M to $88.1MAug 29, 2012 to Feb 26, 2014
- Non-discretionary RAUM · $0 to $12.2MAug 29, 2012 to Feb 26, 2014
- RAUM · $75.0M to $100MAug 29, 2012 to Feb 26, 2014
- Accounts · 355 to 417Jun 15, 2012 to Jun 28, 2012
- Discretionary RAUM · $72.0M to $75.0MJun 15, 2012 to Jun 28, 2012
- RAUM · $72.0M to $75.0MJun 15, 2012 to Jun 28, 2012
- Commission compensation · false to trueMar 13, 2012 to Apr 19, 2012
- Discretionary RAUM · $69.1M to $72.0MMar 7, 2012 to Mar 13, 2012
- RAUM · $69.1M to $72.0MMar 7, 2012 to Mar 13, 2012
- Discretionary RAUM · $69.5M to $69.1MFeb 23, 2012 to Mar 7, 2012
- RAUM · $69.5M to $69.1MFeb 23, 2012 to Mar 7, 2012
- Accounts · 249 to 355Dec 5, 2011 to Feb 23, 2012
- Insurance-licensed employees · unset to 0.0Dec 5, 2011 to Feb 23, 2012
- Financial planning clients · 1-10 to 11-25Dec 5, 2011 to Feb 23, 2012
- Discretionary RAUM · $54.8M to $69.5MDec 5, 2011 to Feb 23, 2012
- RAUM · $54.8M to $69.5MDec 5, 2011 to Feb 23, 2012
Signals
1 dated events
- L••••• A••••••• filed its initial SEC registration (Form ADV)Feb 26, 2014 · 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.
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