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
S•••• S••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 17, 2014 · 16 filings
SEC status approved since Jan 28, 2014
RAUM
$94.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$15,601 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$94.6M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$94.6M as of Mar 27, 2026
Mar 24, 2015$107M then
HNW client RAUM$15,601 as of Mar 27, 2026
Mar 29, 2021$7.0M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 24, 20151 then
Employees (5.A)2 as of Mar 27, 2026
Mar 24, 20153 then
Private funds: no history
RAUM -31% over the last fiscal year-20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $94.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15,601derivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$36.1M38%
- Other investment advisers$29.4M31%
- State and municipal entities$15.8M17%
- Charitable organizations$13.3M14%
- High-net-worth individuals$15,6010.0%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.31 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•• F•••••• L•••• | San F••••••Co, Ca | Oct 23, 2025 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- N•• F•••••• L•••• from S•••••••••Oct 23, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• N••• F•••••• · Managing Partner, Chief Compliance Officer, Managing Membercontrolsince 08/2010 · 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 · 151 to 25Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 6 to 5Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $137M to $94.6MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $270,379 to $15,601Mar 26, 2025 to Mar 27, 2026
- RAUM · $137M to $94.6MMar 26, 2025 to Mar 27, 2026
- Accounts · 182 to 151Mar 29, 2024 to Mar 26, 2025
- Charity clients · 5 to 7Mar 29, 2024 to Mar 26, 2025
- Corporate clients · 4 to 6Mar 29, 2024 to Mar 26, 2025
- HNW clients · 2 to 1Mar 29, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $187M to $137MMar 29, 2024 to Mar 26, 2025
- HNW RAUM · $2.4M to $270,379Mar 29, 2024 to Mar 26, 2025
- RAUM · $187M to $137MMar 29, 2024 to Mar 26, 2025
- Accounts · 57 to 182Mar 29, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Mar 29, 2023 to Mar 29, 2024
- Charity clients · 4 to 5Mar 29, 2023 to Mar 29, 2024
- HNW clients · 1 to 2Mar 29, 2023 to Mar 29, 2024
- Employees · 3 to 2Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $182M to $187MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $11.6M to $2.4MMar 29, 2023 to Mar 29, 2024
- RAUM · $182M to $187MMar 29, 2023 to Mar 29, 2024
- Accounts · 141 to 57Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 3 to 2Mar 30, 2022 to Mar 29, 2023
- Charity clients · 5 to 4Mar 30, 2022 to Mar 29, 2023
- Corporate clients · 7 to 4Mar 30, 2022 to Mar 29, 2023
- Employees · 4 to 3Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $350M to $182MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $11.5M to $11.6MMar 30, 2022 to Mar 29, 2023
- RAUM · $350M to $182MMar 30, 2022 to Mar 29, 2023
- Accounts · 163 to 141Mar 29, 2021 to Mar 30, 2022
- Charity clients · 4 to 5Mar 29, 2021 to Mar 30, 2022
- Corporate clients · 5 to 7Mar 29, 2021 to Mar 30, 2022
- Individual clients · 1.0 to unsetMar 29, 2021 to Mar 30, 2022
- Employees · 8 to 4Mar 29, 2021 to Mar 30, 2022
- State-registered IARs · 2 to 1Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $426M to $350MMar 29, 2021 to Mar 30, 2022
- HNW RAUM · $7.0M to $11.5MMar 29, 2021 to Mar 30, 2022
- Individual RAUM · 2934386.0 to unsetMar 29, 2021 to Mar 30, 2022
- RAUM · $426M to $350MMar 29, 2021 to Mar 30, 2022
- Accounts · 12 to 163Jun 29, 2020 to Mar 29, 2021
Signals
5 dated events
- S•••• S••••••••• L•• reported RAUM $182.2M, down 48% from $349.7M (2022-03-30 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Lynn Rebecca Lucia (Managing Member) no longer on Schedule A of S•••• S••••••••• L•• (listed 2021-03-29, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- S•••• S••••••••• L•• reported RAUM $425.7M, up 353% from $94.0M (2020-06-29 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- S•••• S••••••••• L•• reported RAUM $120.6M, down 82% from $656.5M (2017-06-28 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- S•••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jan 17, 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.
How to reach
public business contact points only, each with its source
- Website
- S••••S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-820-5312reportedpublic record, Form ADV, Mar 27, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $94.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026