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.
Former SEC-registered adviser
Lindbrook Capital, LLC
Latest filing Feb 23, 2025
First filing on the tape Feb 8, 2012 · 36 filings
SEC status approved since Feb 28, 2011
RAUM
$3.5B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
97%
$3.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$3.5B as of Feb 23, 2025
Feb 8, 2012$396M then
HNW client RAUM$3.3B as of Feb 23, 2025
Mar 30, 2018$1.1B then
State-registered IARs (5.B.3)7 as of Feb 23, 2025
Feb 8, 20120 then
Employees (5.A)10 as of Feb 23, 2025
Jan 22, 20135 then
Private funds1 as of Mar 30, 2018
Jan 22, 20131 then
RAUM +9.7% over the last fiscal year+13% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Feb 23, 2025; every figure names its basis
- RAUM per advisor
- $500MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.6MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $3.5BreportedItem 5.I
- Custody
- $1.5B, 805 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.3B96%
- Charitable organizations$67.6M1.9%
- Individuals$64.7M1.8%
- Corporations and businesses$19.5M0.6%
- Pension and profit-sharing plans$886,7850.0%
- Individual clients
- 153reported
- HNW clients
- 349reported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 2,420reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.5B for 805 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Gary Levenstein to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
- Lee Samson to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
- Benjamin Posen to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
- Marielle Schurig to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
- Jonathan Scott Drubner to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
- Tyler Dritz to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
- Luke Crofts to Hightower Advisors, LLCSep 4, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Gary Levenstein from Jess S. Morgan & Company., Inc.Nov 9, 2022 · RIA to RIA
- Jonathan Scott Drubner from Intersect Capital LLCMay 27, 2022 · RIA to RIA
- Lee Samson from UBS Financial Services Inc.Nov 12, 2021 · Wirehouse to independent RIA
- Marielle Schurig from UBS Financial Services Inc.Nov 12, 2021 · Wirehouse to independent RIA
- Benjamin Posen from Oppenheimer Asset ManagementMay 13, 2011 · Other
- Tyler Dritz from Oppenheimer & Co. Inc.May 13, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Hightower Advisors, LLCSep 4, 2025 · Los Angeles, Ca · Firm absorbed
- 2 joined from UBS Financial Services Inc.Dec 9, 2021 · New York, Ny
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Lk Opportunities Fund, L.P.no longer reported | Other Private Fund | $0 | 4 | Aug 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- William Luke Crofts · Partnercontrolsince 03/2022 · owns less than 5%
- Samuel Tyler Dritz · Chief Compliance Officercontrolsince 05/2011 · owns less than 5%
- Kristine Marielle Schurig · Partnercontrolsince 03/2022 · owns 5% to 10%
- Grace Norinne Degal · Trusteecontrolsince 09/2013 · owns F of Posen/Degal Living Trust
- Sperry Taryn Dritz · Trusteecontrolsince 09/2013 · owns F of Tyler And Taryn Dritz Revocable Trust
- Samuel Tyler Dritz · Trusteecontrolsince 09/2013 · owns F of Tyler And Taryn Dritz Revocable Trust
- Alan Benjamin Posen · Trusteecontrolsince 09/2013 · owns F of Posen/Degal Living Trust
- Charles Lee Samson · Partnersince 11/2021 · owns 25% to 50%
Entity owners
- Posen/Degal Living Trust · Managing Memberdirect · owns 25% to 50%
- Tyler And Taryn Dritz Revocable Trust · Managing Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Felicitas Global Partners, LLCinvestment adviserpooled vehicle sponsorcustodianyRAUM $804M
Advisers that list Lindbrook Capital, LLC as a related person
- 292411 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Calabasas, Ca · principal | 0 | 0 | 0 | ||
| Los Angeles, Ca | 0 | 0 | 0 | ||
| New York, Ny | 0 | 0 | 0 | ||
| Summit, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA3 employees
- New York, NY2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,639 to 2,420Mar 14, 2024 to Feb 23, 2025
- Charity clients · 15 to 14Mar 14, 2024 to Feb 23, 2025
- HNW clients · 352 to 349Mar 14, 2024 to Feb 23, 2025
- Individual clients · 164 to 153Mar 14, 2024 to Feb 23, 2025
- Assets in custody · $2.1B to $1.5BMar 14, 2024 to Feb 23, 2025
- Financial planning clients · 101-250 to 101-250Mar 14, 2024 to Feb 23, 2025
- State-registered IARs · 8 to 7Mar 14, 2024 to Feb 23, 2025
- Discretionary RAUM · $2.9B to $3.1BMar 14, 2024 to Feb 23, 2025
- HNW RAUM · $3.1B to $3.3BMar 14, 2024 to Feb 23, 2025
- Individual RAUM · $60.3M to $64.7MMar 14, 2024 to Feb 23, 2025
- Non-discretionary RAUM · $303M to $364MMar 14, 2024 to Feb 23, 2025
- Pension RAUM · $658,065 to $886,785Mar 14, 2024 to Feb 23, 2025
- RAUM · $3.2B to $3.5BMar 14, 2024 to Feb 23, 2025
- Accounts · 2,468 to 2,639Mar 25, 2023 to Mar 14, 2024
- Charity clients · 14 to 15Mar 25, 2023 to Mar 14, 2024
- HNW clients · 333 to 352Mar 25, 2023 to Mar 14, 2024
- Individual clients · 154 to 164Mar 25, 2023 to Mar 14, 2024
- Assets in custody · $2.0B to $2.1BMar 25, 2023 to Mar 14, 2024
- Discretionary RAUM · $2.7B to $2.9BMar 25, 2023 to Mar 14, 2024
- HNW RAUM · $2.8B to $3.1BMar 25, 2023 to Mar 14, 2024
- Individual RAUM · $48.8M to $60.3MMar 25, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $290M to $303MMar 25, 2023 to Mar 14, 2024
- Pension RAUM · $457,927 to $658,065Mar 25, 2023 to Mar 14, 2024
- RAUM · $3.0B to $3.2BMar 25, 2023 to Mar 14, 2024
- Accounts · 2,013 to 2,468Apr 4, 2022 to Mar 23, 2023
- Advisory employees · 5 to 6Apr 4, 2022 to Mar 23, 2023
- Charity clients · 10 to 14Apr 4, 2022 to Mar 23, 2023
- HNW clients · 238 to 333Apr 4, 2022 to Mar 23, 2023
- Individual clients · 90 to 154Apr 4, 2022 to Mar 23, 2023
- Assets in custody · $631M to $2.0BApr 4, 2022 to Mar 23, 2023
- Employees · 7 to 10Apr 4, 2022 to Mar 23, 2023
- Financial planning clients · 251-500 to 101-250Apr 4, 2022 to Mar 23, 2023
- State-registered IARs · 6 to 8Apr 4, 2022 to Mar 23, 2023
- Discretionary RAUM · $2.5B to $2.7BApr 4, 2022 to Mar 23, 2023
- HNW RAUM · $2.6B to $2.8BApr 4, 2022 to Mar 23, 2023
- Individual RAUM · $32.0M to $48.8MApr 4, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $275M to $290MApr 4, 2022 to Mar 23, 2023
- Pension RAUM · $320,789 to $457,927Apr 4, 2022 to Mar 23, 2023
- RAUM · $2.7B to $3.0BApr 4, 2022 to Mar 23, 2023
- Accounts · 1,835 to 2,013Mar 30, 2022 to Apr 1, 2022
Signals
14 dated events
- Lindbrook Capital, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $3.5B)Dec 20, 2025 · Left the SEC roster · derived
- Jonathan Scott Drubner left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-02)Sep 4, 2025 · Advisor changed firm · fact
- Lee Samson left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-02)Sep 4, 2025 · Advisor changed firm · fact
- Benjamin Posen left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-02)Sep 4, 2025 · Advisor changed firm · fact
- Luke Crofts left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-02)Sep 4, 2025 · Advisor changed firm · fact
- Gary Levenstein left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-08)Sep 4, 2025 · Advisor changed firm · fact
- Tyler Dritz left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2026-02-11)Sep 4, 2025 · Advisor changed firm · fact
- Marielle Schurig left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-02)Sep 4, 2025 · Advisor changed firm · fact
- Lindbrook Capital, LLC's advisors moved to Hightower Advisors, LLC (Los Angeles, CA): 5 of 7 registered, on the same daySep 4, 2025 · Firm absorbed (people side) · derived
- Kristine Marielle Schurig (Partner) appeared on Schedule A of Lindbrook Capital, LlcApr 1, 2022 · Control person joined · fact
- William Luke Crofts (Partner) appeared on Schedule A of Lindbrook Capital, LlcApr 1, 2022 · Control person joined · fact
- Lindbrook Capital, Llc reported RAUM $2.5B, up 34% from $1.8B (2022-01-24 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Lindbrook Capital, Llc reported RAUM $1.8B, up 42% from $1.3B (2020-11-02 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
- Lindbrook Capital, Llc reported RAUM $1.2B, up 28% from $924.3M (2017-09-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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