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•••••••• F••••••••
Legal name L•••••••• F••••••••• I•••
Latest filing Sep 11, 2026
First filing on the tape Mar 20, 2012 · 29 filings
SEC status approved since Jun 22, 2010
RAUM
$443M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
96%
$427M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$63.2M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$443M as of Jun 30, 2026
Mar 20, 2012$92.6M then
HNW client RAUM$273M as of Jun 30, 2026
Mar 7, 2018$95.2M then
State-registered IARs (5.B.3)7 as of Jun 30, 2026
Mar 20, 20120 then
Employees (5.A)9 as of Jun 30, 2026
Mar 12, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Sep 11, 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
- RAUM per advisor
- $63.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $371,724derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $103M, 105 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$273M62%
- Individuals$154M35%
- Corporations and businesses$15.6M3.5%
- Individual clients
- 572reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,191reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 105 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• M••••• F••• | Claremont, Ca | Jun 22, 2010 | 30 y | 3 |
| G••••• E• L•••••• | Claremont, Ca | Jun 22, 2010 | 24 y | 3 |
| M••••••• M•••• F••• | Richland, Mo | Mar 16, 2012 | 15 y | 0 |
| J••••• H•••• B•••••• | Claremont, Ca | Jun 1, 2012 | 14 y | 0 |
| E••• V•••••• R••• B•••••••• | Claremont, Ca | Aug 17, 2015 | 11 y | 0 |
| M•••••• A•• B•••••••• | Claremont, Ca | Feb 11, 2020 | 15 y | 0 |
| R••••• A•••••• C••••••• | Claremont, Ca | Jul 15, 2026 | 27 y | 0 |
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
- G••••• E• L•••••• from C•••••• W••••• M•••••••••Jun 22, 2010 · Other
- H•••• M••••• F••• from C•••••• W••••• M•••••••••Jun 22, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• H••••• M••••• · Principal, Cfo, & Chief Compliance Officercontrolsince 06/2010 · 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 |
|---|---|---|---|---|---|
| Claremont, Ca · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jun 30, 2026 to Sep 11, 2026
- Related adviser · false to unsetJun 30, 2026 to Sep 11, 2026
- Related bank · false to unsetJun 30, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetJun 30, 2026 to Sep 11, 2026
- Related insurance company · false to unsetJun 30, 2026 to Sep 11, 2026
- Succession · false to unsetJun 30, 2026 to Sep 11, 2026
- Accounts · 804 to 1,191Oct 20, 2025 to Feb 20, 2026
- Corporate clients · 8 to 11Oct 20, 2025 to Feb 20, 2026
- HNW clients · 81 to 97Oct 20, 2025 to Feb 20, 2026
- Individual clients · 480 to 572Oct 20, 2025 to Feb 20, 2026
- Assets in custody · $87.8M to $103MOct 20, 2025 to Feb 20, 2026
- Employees · 8 to 9Oct 20, 2025 to Feb 20, 2026
- State-registered IARs · 6 to 7Oct 20, 2025 to Feb 20, 2026
- Discretionary RAUM · $293M to $341MOct 20, 2025 to Feb 20, 2026
- HNW RAUM · $220M to $273MOct 20, 2025 to Feb 20, 2026
- Individual RAUM · $142M to $154MOct 20, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $81.3M to $102MOct 20, 2025 to Feb 20, 2026
- RAUM · $375M to $443MOct 20, 2025 to Feb 20, 2026
- Accounts · 713 to 804Nov 15, 2024 to Feb 28, 2025
- Corporate clients · 7 to 8Nov 15, 2024 to Feb 28, 2025
- HNW clients · 78 to 81Nov 15, 2024 to Feb 28, 2025
- Individual clients · 470 to 480Nov 15, 2024 to Feb 28, 2025
- Assets in custody · $75.7M to $87.8MNov 15, 2024 to Feb 28, 2025
- Employees · 6 to 8Nov 15, 2024 to Feb 28, 2025
- Financial planning clients · 251-500 to 251-500Nov 15, 2024 to Feb 28, 2025
- Discretionary RAUM · $257M to $293MNov 15, 2024 to Feb 28, 2025
- HNW RAUM · $196M to $220MNov 15, 2024 to Feb 28, 2025
- Individual RAUM · $110M to $142MNov 15, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $58.5M to $81.3MNov 15, 2024 to Feb 28, 2025
- RAUM · $315M to $375MNov 15, 2024 to Feb 28, 2025
- Advisory activities · 4 to 5Mar 22, 2024 to Oct 30, 2024
- Accounts · 891 to 713Oct 12, 2023 to Mar 22, 2024
- Corporate clients · 8 to 7Oct 12, 2023 to Mar 22, 2024
- HNW clients · 66 to 78Oct 12, 2023 to Mar 22, 2024
- Individual clients · 452 to 470Oct 12, 2023 to Mar 22, 2024
- Assets in custody · $69.7M to $75.7MOct 12, 2023 to Mar 22, 2024
- Discretionary RAUM · $216M to $257MOct 12, 2023 to Mar 22, 2024
- HNW RAUM · $149M to $196MOct 12, 2023 to Mar 22, 2024
- Individual RAUM · $108M to $110MOct 12, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $46.6M to $58.5MOct 12, 2023 to Mar 22, 2024
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
- Firm profile
- LINKEDIN.COM/COMPANY/L••••••••FINANCIALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- L••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 909-267-3770reportedpublic record, Form ADV, Sep 11, 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
- $63.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026