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•• W••••• A•••••••

Former SEC-registered adviserSan Ramon, CaliforniaCRD 154223SEC 801-113091IAPD
Legal name L•• A•••• M•••••••••
Latest filing Mar 10, 2022
First filing on the tape Nov 14, 2011 · 23 filings
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$207M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$210M as of Mar 10, 2022
Mar 15, 2012$44.0M then
HNW client RAUM$105M as of Mar 10, 2022
Apr 17, 2018$11.6M then
State-registered IARs (5.B.3)4 as of Mar 10, 2022
Mar 15, 20120 then
Employees (5.A)7 as of Mar 10, 2022
Apr 17, 20187 then
Private funds: no history
RAUM +35% over the last fiscal year+22% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Mar 10, 2022; every figure names its basis
RAUM per advisor
$52.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
114derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$454,428derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+35%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.1%derived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Custody
$37.5M, 63 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$105M50%
  • Individuals$102M48%
  • Pension and profit-sharing plans$3.3M1.6%
Individual clients
403reported
HNW clients
51reported
Pension plan clients
9reported
Charitable clients
0reported
Accounts
463reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$37.5M for 63 clientsreported
Compensation
% of AUM, fixed, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••• J•••• O•••••• · Managing Membercontrol
    since 06/2010 · owns 75% or more
  • S••••••••• G•••• J••••• · Chief Compliance Officer
    since 06/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Burlingame, CA2 employees
What changed
consecutive filings, newest first
  • Accounts · 433 to 463
    Aug 3, 2021 to Mar 10, 2022
  • Advisory employees · 3 to 4
    Aug 3, 2021 to Mar 10, 2022
  • BD registered reps · 2 to 3
    Aug 3, 2021 to Mar 10, 2022
  • HNW clients · 3 to 51
    Aug 3, 2021 to Mar 10, 2022
  • Individual clients · 425 to 403
    Aug 3, 2021 to Mar 10, 2022
  • Pension plan clients · 8 to 9
    Aug 3, 2021 to Mar 10, 2022
  • Assets in custody · $1.7M to $37.5M
    Aug 3, 2021 to Mar 10, 2022
  • State-registered IARs · 2 to 4
    Aug 3, 2021 to Mar 10, 2022
  • Other offices · 2 to 1
    Aug 3, 2021 to Mar 10, 2022
  • Discretionary RAUM · $155M to $210M
    Aug 3, 2021 to Mar 10, 2022
  • HNW RAUM · $22.5M to $105M
    Aug 3, 2021 to Mar 10, 2022
  • Individual RAUM · $131M to $102M
    Aug 3, 2021 to Mar 10, 2022
  • Pension RAUM · $1.5M to $3.3M
    Aug 3, 2021 to Mar 10, 2022
  • RAUM · $155M to $210M
    Aug 3, 2021 to Mar 10, 2022
  • Other offices · 1 to 2
    Apr 1, 2021 to Aug 3, 2021
  • Accounts · 401 to 433
    Jan 15, 2021 to Mar 9, 2021
  • Advisory activities · 4 to 3
    Jan 15, 2021 to Mar 9, 2021
  • Business name · L•• A•••• M••••••••• to L•• W••••• A•••••••
    Jan 15, 2021 to Mar 9, 2021
  • Individual clients · 395 to 425
    Jan 15, 2021 to Mar 9, 2021
  • Pension plan clients · 6 to 8
    Jan 15, 2021 to Mar 9, 2021
  • Assets in custody · $2.5M to $1.7M
    Jan 15, 2021 to Mar 9, 2021
  • Employees · 8 to 7
    Jan 15, 2021 to Mar 9, 2021
  • State-registered IARs · 3 to 2
    Jan 15, 2021 to Mar 9, 2021
  • Discretionary RAUM · $134M to $155M
    Jan 15, 2021 to Mar 9, 2021
  • HNW RAUM · $18.0M to $22.5M
    Jan 15, 2021 to Mar 9, 2021
  • Individual RAUM · $115M to $131M
    Jan 15, 2021 to Mar 9, 2021
  • Pension RAUM · $1.1M to $1.5M
    Jan 15, 2021 to Mar 9, 2021
  • RAUM · $134M to $155M
    Jan 15, 2021 to Mar 9, 2021
  • HQ city · BURLINGAME to SAN RAMON
    Jun 29, 2020 to Nov 11, 2020
  • Other offices · 0 to 1
    Jun 29, 2020 to Nov 11, 2020
  • Accounts · 445 to 401
    Oct 24, 2019 to Mar 25, 2020
  • Individual clients · 375 to 395
    Oct 24, 2019 to Mar 25, 2020
  • Pension plan clients · 5 to 6
    Oct 24, 2019 to Mar 25, 2020
  • Commission compensation · false to true
    Oct 24, 2019 to Mar 25, 2020
  • Assets in custody · unset to 2478916.0
    Oct 24, 2019 to Mar 25, 2020
  • Custody of client assets · false to true
    Oct 24, 2019 to Mar 25, 2020
  • Employees · 5 to 8
    Oct 24, 2019 to Mar 25, 2020
  • State-registered IARs · 2 to 3
    Oct 24, 2019 to Mar 25, 2020
  • Discretionary RAUM · $116M to $134M
    Oct 24, 2019 to Mar 25, 2020
  • HNW RAUM · $10.0M to $18.0M
    Oct 24, 2019 to Mar 25, 2020
Signals
3 dated events
  • M•••••• A••••• L•• left L•• W••••• A••••••• for R•••••••• S••••••• (registered 2022-12-16)
    Feb 13, 2023 · Advisor changed firm · fact
  • J••• O•••••• L•• left L•• W••••• A••••••• for G••••• S••••••••• I••• (registered 2011-05-03)
    Feb 13, 2023 · Advisor changed firm · fact
  • L•• A•••• M••••••••• filed its initial SEC registration (Form ADV)
    Mar 30, 2018 · 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