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•••• W••••• M•••••••••
Legal name L•••• W••••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Apr 3, 2012 · 42 filings
SEC status approved since Jul 28, 2009
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$83.1M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$27.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$109M as of Apr 1, 2026
Apr 3, 2012$439M then
HNW client RAUM$0 as of Apr 1, 2026
Mar 30, 2018$46.3M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 28, 20137 then
Employees (5.A)4 as of Apr 1, 2026
Mar 28, 201310 then
Private funds1 as of Apr 1, 2026
Apr 3, 20121 then
RAUM -14% over the last fiscal year-15% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $27.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $974,301derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -59%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- Individuals$83.1M76%
- Investment companies$17.9M16%
- Pooled investment vehicles$4.8M4.4%
- Pension and profit-sharing plans$3.4M3.1%
- Individual clients
- 106reported
- HNW clients
- 0reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 112reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.76 fund_share=0.21 institutional_share=0.03 related_bd=false related_bank=true bd_reps=2.0 bank_owner=falsederived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J••• | Winter Park, Fl | Jan 27, 2026 | 12 y | 1 |
| A•••••••• R••• | Winter Park, Fl | Mar 30, 2026 | 33 y | 3 |
| J••••• L•••••• | Winter Park, Fl | Apr 28, 2026 | 11 y | 3 |
| J•••••• J••• L••••••••• | Winter Park, Fl | Aug 18, 2026 | 29 y | 5 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 50% of current headcount3 left over 36 months
Left, latest
- A••• J•••••••• to A••• • C••••••• L••Jun 12, 2026 · RIA to a state-registered adviser
- C•••• D•••• R••• to S••••••••• L••Dec 31, 2025 · RIA to RIA
- M•••••• N••••••• F••••••••• to G•• S••••••••Aug 7, 2025 · RIA to RIA
- T••••• J•• C••••• to S••••••••• A•••• M••••••••• L••Aug 15, 2023 · RIA to RIA
- I•• T••••• R•••••••• to C•••••• M••••••••• S•••••••• I•••May 26, 2015 · Other
- E••• J•••• G••••••••• to H• B•••• I•••Apr 15, 2014 · Other
- T••••• J•• C••••• to A••••••• E•••••••• I•••Sep 17, 2012 · Other
Joined, latest
- J•••••• J••• L••••••••• from S••••••••• I••••••••• A•••••••Aug 18, 2026 · Other
- T••••• J•• C••••• from C•••••• W••••• A••••••• G••••Jun 8, 2023 · RIA to RIA
- A••• J•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 12, 2019 · Wirehouse to independent RIA
- I•• T••••• R•••••••• from F•••••••• A••••••• G•••• L•••••Oct 24, 2013 · Other
- E••• J•••• G••••••••• from E•••• S••••••••• L••Feb 15, 2011 · Other
- T••••• J•• C••••• from H•••• C•••••• M•••••••••Nov 12, 2009 · Other
- A•••••••• R••• from A•••••••• R••• I••••••••• M••••••••• I•••Aug 3, 2009 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••• H•••• P••••••• F•••• L•no longer reported | Hedge Fund | $835,892 | 16 | Apr 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R•••• A•••••••• · Ccocontrolsince 06/2009 · owns 75% or more
Related persons
Schedule D 7.A
- L•••• I••••••••• M•••••••••investment advisernRAUM $73.1M
- L•••• T•••••• G••••bankn
Advisers that list L•••• W••••• M••••••••• as a related person
- 166788 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 4 | 4 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 1, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $127,037,019 to $109,121,693, advisors 4 to 3, private clients 256 to 106, offices 0 to 0 (2025-04-01 to 2026-04-01)peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Apr 1, 2026accounts (Item 5.F.2.f) moved from 257.0 to 112.0 (-56.0%) between the annual amendments of 2025-04-01 and 2026-04-01; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.5% percentile
- client count collapseChange between filings · filing Apr 1, 2026individual and HNW clients (Item 5.D) moved from 256.0 to 106.0 (-59.0%) between the annual amendments of 2025-04-01 and 2026-04-01; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.1% percentile
- business activity changedChange between filings · filing Apr 1, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-01-26, yes on the filing of 2026-04-01peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Apr 1, 2026wrap fee program participation (Item 5.I): yes on the filing of 2026-01-26, no on the filing of 2026-04-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 257 to 112Jan 26, 2026 to Apr 1, 2026
- Advisory employees · 4 to 3Jan 26, 2026 to Apr 1, 2026
- Advisory activities · 3 to 4Jan 26, 2026 to Apr 1, 2026
- BD registered reps · 0 to 2Jan 26, 2026 to Apr 1, 2026
- Individual clients · 256 to 106Jan 26, 2026 to Apr 1, 2026
- Pension plan clients · 0 to 4Jan 26, 2026 to Apr 1, 2026
- Pooled vehicle clients · 0 to 1Jan 26, 2026 to Apr 1, 2026
- State-registered IARs · 4 to 3Jan 26, 2026 to Apr 1, 2026
- Discretionary RAUM · $127M to $109MJan 26, 2026 to Apr 1, 2026
- Individual RAUM · $102M to $83.1MJan 26, 2026 to Apr 1, 2026
- Pension RAUM · $0 to $3.4MJan 26, 2026 to Apr 1, 2026
- Pooled vehicle RAUM · $0 to $4.8MJan 26, 2026 to Apr 1, 2026
- RAUM · $127M to $109MJan 26, 2026 to Apr 1, 2026
- Wrap assets (manager) · 0.0 to unsetJan 26, 2026 to Apr 1, 2026
- Wrap assets (sponsor) · 0.0 to unsetJan 26, 2026 to Apr 1, 2026
- Accounts · 139 to 257Mar 26, 2024 to Apr 1, 2025
- Individual clients · 145 to 256Mar 26, 2024 to Apr 1, 2025
- Employees · 7 to 4Mar 26, 2024 to Apr 1, 2025
- Financial planning clients · 11-25 to 11-25Mar 26, 2024 to Apr 1, 2025
- Private funds · unset to 1Mar 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $160M to $127MMar 26, 2024 to Apr 1, 2025
- Individual RAUM · $131M to $102MMar 26, 2024 to Apr 1, 2025
- RAUM · $160M to $127MMar 26, 2024 to Apr 1, 2025
- Wrap assets (manager) · $2.7M to $0Mar 26, 2024 to Apr 1, 2025
- Accounts · 145 to 139Mar 27, 2023 to Mar 26, 2024
- Advisory employees · 3 to 4Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $180M to $160MMar 27, 2023 to Mar 26, 2024
- Individual RAUM · $145M to $131MMar 27, 2023 to Mar 26, 2024
- RAUM · $180M to $160MMar 27, 2023 to Mar 26, 2024
- Wrap assets (manager) · $2.5M to $2.7MMar 27, 2023 to Mar 26, 2024
- Accounts · 146 to 145Sep 21, 2022 to Mar 27, 2023
- Advisory employees · 2 to 3Sep 21, 2022 to Mar 27, 2023
- Corporate clients · unset to 0.0Sep 21, 2022 to Mar 27, 2023
- Individual clients · 146 to 145Sep 21, 2022 to Mar 27, 2023
- Pension plan clients · unset to 0.0Sep 21, 2022 to Mar 27, 2023
- Employees · 6 to 7Sep 21, 2022 to Mar 27, 2023
- State-registered IARs · 2 to 4Sep 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $174M to $180MSep 21, 2022 to Mar 27, 2023
- HNW RAUM · unset to 0.0Sep 21, 2022 to Mar 27, 2023
- Individual RAUM · $124M to $145MSep 21, 2022 to Mar 27, 2023
Signals
4 dated events
- A••• J•••••••• left L•••• W••••• M••••••••• for A••• • C••••••• L•• (registered 2026-06-17)Jun 12, 2026 · Advisor changed firm · fact
- C•••• D•••• R••• left L•••• W••••• M••••••••• for S••••••••• L•• (registered 2026-02-05)Dec 31, 2025 · Advisor changed firm · fact
- M•••••• N••••••• F••••••••• left L•••• W••••• M••••••••• for G•• S•••••••• (registered 2026-01-13)Aug 7, 2025 · Advisor changed firm · fact
- T••••• J•• C••••• left L•••• W••••• M••••••••• for S••••••••• A•••• M••••••••• L•• (registered 2023-09-14)Aug 15, 2023 · Advisor changed firm · 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@lyonswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-951-8710reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407 951 8710reportedpublic record, Form ADV, Apr 1, 2026
- Team page
- lyonswealth.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $27.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026