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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 18, 2011 · 15 filings
SEC status approved since Mar 1, 2021
RAUM
$260M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$260M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$260M as of Mar 27, 2026
May 23, 2012$21.8M then
HNW client RAUM$224M as of Mar 27, 2026
Mar 31, 2022$89.3M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
May 23, 20120 then
Employees (5.A)4 as of Mar 27, 2026
Mar 31, 20226 then
Private funds: no history
RAUM +33% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $86.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $514,851derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $390MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M86%
- Individuals$36.4M14%
- Individual clients
- 170reported
- HNW clients
- 105reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 505reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $195M sponsored, $195M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J••••• L•••Certified Financial Planner | Doylestown, Pa | Jul 17, 2012 | 21 y | 3 |
| D••••• O••••• B•••••Certified Financial Planner | Glens Falls, Ny | Feb 25, 2015 | 41 y | 2 |
| K•••• B•••• | Doylestown, Pa | Jun 26, 2026 | 11 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- A••••• T••• B••••••• to W••• C•••••• P•••••••• L••Jun 9, 2026 · RIA to RIA
- M• T••••• P•••• to M••• S••••• F•••••••• S••••••••• L••Apr 29, 2015 · Other
Joined, latest
- K•••• B•••• from C••••••••• F•••••••• N••••••Jun 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• T••• B••••••• from L•••••• I•••••••••Oct 23, 2020 · Other
- D••••• O••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 25, 2015 · Other
- W•••••• J••••• L••• from F••••• O••••• G•••• L••Jul 17, 2012 · Other
- M• T••••• P•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 18, 2011 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• W••••••• J••••• · President & Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
- L•••• W••••••• J••••• · Managing Membercontrolsince 01/2011 · owns 75% or more of L•••• L••
Entity owners
- L•••• L•• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Doylestown, Pa · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 480 to 505Mar 24, 2025 to Mar 27, 2026
- HNW clients · 93 to 105Mar 24, 2025 to Mar 27, 2026
- Individual clients · 155 to 170Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $195M to $260MMar 24, 2025 to Mar 27, 2026
- HNW RAUM · $159M to $224MMar 24, 2025 to Mar 27, 2026
- Individual RAUM · $36.3M to $36.4MMar 24, 2025 to Mar 27, 2026
- RAUM · $195M to $260MMar 24, 2025 to Mar 27, 2026
- Accounts · 460 to 480Mar 31, 2024 to Mar 24, 2025
- HNW clients · 81 to 93Mar 31, 2024 to Mar 24, 2025
- Individual clients · 150 to 155Mar 31, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Mar 31, 2024 to Mar 24, 2025
- Discretionary RAUM · $199M to $195MMar 31, 2024 to Mar 24, 2025
- HNW RAUM · $127M to $159MMar 31, 2024 to Mar 24, 2025
- Individual RAUM · $72.1M to $36.3MMar 31, 2024 to Mar 24, 2025
- RAUM · $199M to $195MMar 31, 2024 to Mar 24, 2025
- Wrap assets (manager) · $199M to $195MMar 31, 2024 to Mar 24, 2025
- Wrap assets (sponsor) · $199M to $195MMar 31, 2024 to Mar 24, 2025
- Accounts · 438 to 460Mar 30, 2023 to Mar 31, 2024
- HNW clients · 61 to 81Mar 30, 2023 to Mar 31, 2024
- Individual clients · 130 to 150Mar 30, 2023 to Mar 31, 2024
- Employees · 6 to 4Mar 30, 2023 to Mar 31, 2024
- Financial planning clients · 51-100 to 101-250Mar 30, 2023 to Mar 31, 2024
- Discretionary RAUM · $129M to $199MMar 30, 2023 to Mar 31, 2024
- HNW RAUM · $94.2M to $127MMar 30, 2023 to Mar 31, 2024
- Individual RAUM · $35.0M to $72.1MMar 30, 2023 to Mar 31, 2024
- RAUM · $129M to $199MMar 30, 2023 to Mar 31, 2024
- Wrap assets (manager) · $129M to $199MMar 30, 2023 to Mar 31, 2024
- Wrap assets (sponsor) · $129M to $199MMar 30, 2023 to Mar 31, 2024
- Accounts · 348 to 438Mar 31, 2022 to Mar 30, 2023
- HNW clients · 46 to 61Mar 31, 2022 to Mar 30, 2023
- Individual clients · 118 to 130Mar 31, 2022 to Mar 30, 2023
- Financial planning clients · 26-50 to 51-100Mar 31, 2022 to Mar 30, 2023
- Other offices · 1 to 0Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $121M to $129MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $89.3M to $94.2MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $31.3M to $35.0MMar 31, 2022 to Mar 30, 2023
- RAUM · $121M to $129MMar 31, 2022 to Mar 30, 2023
- Wrap assets (manager) · $121M to $129MMar 31, 2022 to Mar 30, 2023
- Wrap assets (sponsor) · $121M to $129MMar 31, 2022 to Mar 30, 2023
- Accounts · 512 to 300Jan 29, 2021 to Mar 31, 2022
Signals
2 dated events
- A••••• T••• B••••••• left A•••••••• A•••••••• L•• for W••• C•••••• P•••••••• L•• (registered 2026-05-28)Jun 9, 2026 · Advisor changed firm · fact
- A•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 29, 2021 · 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
- A••••••••ADVISOR.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215 558 5500reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $86.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026