DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

L•••• E•••••

Former SEC-registered adviserFormer SEC adviser· Vancouver

Former SEC-registered adviser, based in Vancouver, reporting $148M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$148M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+53%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $148M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 153546 · SEC 801-71399 · 9 filingsShow
CRD 153546SEC 801-71399Legal name L•••• E••••• I•••First filing on the tape Dec 20, 2011, latest Dec 23, 2017IAPD
RAUM
$148M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
100%
$148M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$148M as of Dec 23, 2017
Dec 20, 2011$47.2M then
HNW client RAUM: $17.5M
State-registered IARs (5.B.3)0 as of Dec 23, 2017
Dec 20, 20110 then
Employees (5.A)3 as of Dec 23, 2017
Nov 29, 20122 then
Private funds: no history
RAUM +53% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 23, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
61%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+53%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$131M88%
  • High-net-worth individuals$17.5M12%
Individual clients
133reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
137reported
Financial planning clients
0reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• T••• · Director / President & Chief Compliance Officercontrol
        since 10/2000 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 131 to 137
        Dec 14, 2016 to Dec 23, 2017
      • Advisory activities · 2 to 3
        Dec 14, 2016 to Dec 23, 2017
      • Individual clients · unset to 133.0
        Dec 14, 2016 to Dec 23, 2017
      • Other offices · unset to 0.0
        Dec 14, 2016 to Dec 23, 2017
      • Discretionary RAUM · $52.3M to $90.5M
        Dec 14, 2016 to Dec 23, 2017
      • HNW RAUM · unset to 17483874.0
        Dec 14, 2016 to Dec 23, 2017
      • Individual RAUM · unset to 130986917.0
        Dec 14, 2016 to Dec 23, 2017
      • Non-discretionary RAUM · $45.0M to $58.0M
        Dec 14, 2016 to Dec 23, 2017
      • Pension RAUM · unset to 0.0
        Dec 14, 2016 to Dec 23, 2017
      • RAUM · $97.3M to $148M
        Dec 14, 2016 to Dec 23, 2017
      • Accounts · 130 to 131
        Dec 8, 2015 to Dec 14, 2016
      • Discretionary RAUM · $44.4M to $52.3M
        Dec 8, 2015 to Dec 14, 2016
      • Non-discretionary RAUM · $53.1M to $45.0M
        Dec 8, 2015 to Dec 14, 2016
      • RAUM · $97.4M to $97.3M
        Dec 8, 2015 to Dec 14, 2016
      • Accounts · 153 to 130
        Dec 15, 2014 to Dec 8, 2015
      • Discretionary RAUM · $39.5M to $44.4M
        Dec 15, 2014 to Dec 8, 2015
      • Non-discretionary RAUM · $57.4M to $53.1M
        Dec 15, 2014 to Dec 8, 2015
      • RAUM · $96.9M to $97.4M
        Dec 15, 2014 to Dec 8, 2015
      • Accounts · 105 to 153
        Mar 7, 2014 to Dec 15, 2014
      • Employees · 2 to 3
        Mar 7, 2014 to Dec 15, 2014
      • Discretionary RAUM · $20.3M to $39.5M
        Mar 7, 2014 to Dec 15, 2014
      • Non-discretionary RAUM · $47.8M to $57.4M
        Mar 7, 2014 to Dec 15, 2014
      • RAUM · $68.1M to $96.9M
        Mar 7, 2014 to Dec 15, 2014
      • Accounts · 71 to 105
        Nov 29, 2012 to Dec 12, 2013
      • Discretionary RAUM · $10.7M to $20.3M
        Nov 29, 2012 to Dec 12, 2013
      • Non-discretionary RAUM · $47.3M to $47.8M
        Nov 29, 2012 to Dec 12, 2013
      • RAUM · $58.0M to $68.1M
        Nov 29, 2012 to Dec 12, 2013
      • Accounts · 67 to 71
        Jun 14, 2012 to Nov 29, 2012
      • Advisory employees · unset to 1.0
        Jun 14, 2012 to Nov 29, 2012
      • Employees · unset to 2.0
        Jun 14, 2012 to Nov 29, 2012
      • Discretionary RAUM · $7.4M to $10.7M
        Jun 14, 2012 to Nov 29, 2012
      • Non-discretionary RAUM · $39.8M to $47.3M
        Jun 14, 2012 to Nov 29, 2012
      • RAUM · $47.2M to $58.0M
        Jun 14, 2012 to Nov 29, 2012
      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.
      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