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L••••••• W••••• A•••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $163M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$163M
Advisors
2
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+25%
Private clients
100%
of RAUM, $163M
See where advisers wentSee teams that moved
More
Advisors (2)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +24.7%
    RAUM, one year

    RAUM $130M to $163M (+24.7%) on the Form ADV filed 30 Jul 2026, while advisors on the filing held at 1 and offices rose 1 to 2.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 155921 · SEC 801-132099 · 5 filingsShow
CRD 155921SEC 801-132099First filing on the tape Mar 5, 2025, latest Jul 30, 2026SEC status approved since Mar 6, 2025IAPD
RAUM
$163M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$163M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$81.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape

RAUM +25% over the last fiscal year · the tape starts Mar 5, 2025

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$163M as of Jul 30, 2026
Mar 5, 2025$130M then
HNW client RAUM$104M as of Jul 30, 2026
Mar 5, 2025$92.8M then
State-registered IARs (5.B.3)1 as of Jul 30, 2026
Mar 5, 20251 then
Employees (5.A)1 as of Jul 30, 2026
Mar 5, 20251 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1offices 1 to 2
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$81.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$622,717derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$25.9M, 41 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

64% high-net-worth individuals, 36% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$104M64%
  • Individuals$58.8M36%
Individual clients
56reported
HNW clients
29reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
261reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$25.9M for 41 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      2 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      D•••• J• L•••••••Chartered Financial ConsultantBoynton Beach, FlDec 20, 201018 y0
      B••••••• S••• L•••••••Boynton Beach, Fl May 6, 202610 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• D••••• J• · Managing Member/Chief Compliance Officercontrol
        since 10/2010 · owns 75% or more
      • L•••••••• L••••• B••• · Silent Partner
        since 10/2010 · owns 10% to 25%
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Boynton Beach, Fl210
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 2
        Mar 3, 2026 to May 6, 2026
      • Accounts · 227 to 261
        May 22, 2025 to Mar 3, 2026
      • Advisory activities · 2 to 3
        May 22, 2025 to Mar 3, 2026
      • Individual clients · 48 to 56
        May 22, 2025 to Mar 3, 2026
      • Assets in custody · $62.5M to $25.9M
        May 22, 2025 to Mar 3, 2026
      Full history · 11 changes
      • Discretionary RAUM · $124M to $155M
        May 22, 2025 to Mar 3, 2026
      • HNW RAUM · $92.8M to $104M
        May 22, 2025 to Mar 3, 2026
      • Individual RAUM · $37.5M to $58.8M
        May 22, 2025 to Mar 3, 2026
      • Non-discretionary RAUM · $6.6M to $7.4M
        May 22, 2025 to Mar 3, 2026
      • RAUM · $130M to $163M
        May 22, 2025 to Mar 3, 2026
      • Financial planning clients · 1-10 to 1-10
        Mar 5, 2025 to May 22, 2025
      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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      $81.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026