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.
SEC-registered adviser
Lvw Advisors, LLC
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 66 filings
SEC status approved since Oct 28, 2011
RAUM
$2.5B
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
65%
$1.6B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM$2.5B as of Mar 24, 2026
Mar 30, 2012$1.6B then
HNW client RAUM$1.5B as of Mar 24, 2026
Mar 30, 2018$807M then
State-registered IARs (5.B.3)10 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)19 as of Mar 24, 2026
Mar 26, 20139 then
Private funds: no history
RAUM +8.3% over the last fiscal year+8.5% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $309MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $941,666derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $588M, 227 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B62%
- Corporations and businesses$621M25%
- Charitable organizations$233M9.4%
- Individuals$86.7M3.5%
- Pension and profit-sharing plans$6.7M0.3%
- Individual clients
- 246reported
- HNW clients
- 247reported
- Pension plan clients
- 6reported
- Charitable clients
- 9reported
- Accounts
- 2,625reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $588M for 227 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Patrick Zappia | Pittsford, Ny | May 9, 2014 | 38 y | 1 |
| Jeffrey Reed Wagner | Pittsford, Ny | Aug 7, 2021 | 22 y | 1 |
| Christopher Russell Van BurenCertified Financial Planner | Clifton Park, Ny | Aug 17, 2021 | 16 y | 1 |
| Lori Ann Van Dusen | Pittsford, Ny | Aug 19, 2021 | 39 y | 0 |
| Richard H Van KurenChartered Financial Analyst | Pittsford, Ny | Sep 3, 2021 | 27 y | 1 |
| Allison Elizabeth Bell | Pittsford, Ny | Feb 13, 2024 | 11 y | 0 |
| Abigail L Adams | Pittsford, Ny | Feb 6, 2025 | 20 y | 3 |
| Jacklyn Marie Raymonda | Pittsford, Ny | Oct 31, 2025 | 18 y | 6 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- Paul E Salvetti to FartherAug 17, 2026 · RIA to RIA
- Jonathan Thomas to Jql WealthApr 14, 2026 · RIA to a newly registered adviser
- Ashley Sullivan to Strategic Advisers LLCAug 11, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Jacklyn Marie Raymonda from Osaic Wealth, Inc.Oct 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Abigail L Adams from Wells Fargo AdvisorsFeb 6, 2025 · Wirehouse to independent RIA
- Ashley Sullivan from Charles Schwab & Co., Inc.Jul 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- Richard H Van Kuren from Convergent Wealth Advisors, LLCSep 3, 2021 · Other
- Christopher Russell Van Buren from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 17, 2021 · Wirehouse to independent RIA
- Jeffrey Reed Wagner from Convergent Wealth Advisors, LLCAug 7, 2021 · Other
- Jonathan Thomas from Mckinley Carter Wealth Services, Inc.Aug 6, 2021 · RIA to RIA
- Joseph Patrick Zappia from Wells Fargo AdvisorsMay 9, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Richard Dyer · Chief Operating Officercontrolsince 05/2024 · owns less than 5%
- Ann Lori Van Dusen · Chief Executive Officer Compliance Officercontrolsince 10/2011 · owns less than 5%
- Reed Jeffrey Wagner · Senior Partner And Principalcontrolsince 01/2023 · owns less than 5%
- Patrick Joseph Zappia · Principal And Chief Compliance Officercontrolsince 05/2014 · owns less than 5%
Entity owners
- Lvw Flynn, LLC · Member (Manager)direct · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Focus Financial Partners Inc · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
- Focus Operating, LLC · Memberindirect · owns 75% or more of Lvw Flynn, LLC
Related persons
Schedule D 7.A
- Focus Risk Solutions, LLCreal estaten
- Scs Capital Management LLCinvestment adviserbankpooled vehicle sponsornRAUM $49B
- Focus Partners Wealth, LLCinvestment advisernRAUM $182B
Advisers that list Lvw Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 8 | 1 | 2 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 24, 2026ZAPPIA, JOSEPH, PATRICK (PRINCIPAL AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-07-24 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 24, 2026DYER, RICHARD, ALAN (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-07-24 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 2,583 to 2,625Jan 6, 2026 to Mar 24, 2026
- Corporate clients · 12 to 11Jan 6, 2026 to Mar 24, 2026
- HNW clients · 224 to 247Jan 6, 2026 to Mar 24, 2026
- Individual clients · 250 to 246Jan 6, 2026 to Mar 24, 2026
- Pension plan clients · unset to 6.0Jan 6, 2026 to Mar 24, 2026
- Assets in custody · $365M to $588MJan 6, 2026 to Mar 24, 2026
- Employees · 21 to 19Jan 6, 2026 to Mar 24, 2026
- State-registered IARs · 9 to 10Jan 6, 2026 to Mar 24, 2026
- Discretionary RAUM · $1.8B to $1.9BJan 6, 2026 to Mar 24, 2026
- HNW RAUM · $1.4B to $1.5BJan 6, 2026 to Mar 24, 2026
- Individual RAUM · $89.3M to $86.7MJan 6, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $502M to $575MJan 6, 2026 to Mar 24, 2026
- Pension RAUM · $4.9M to $6.7MJan 6, 2026 to Mar 24, 2026
- RAUM · $2.3B to $2.5BJan 6, 2026 to Mar 24, 2026
- Financial planning clients · 0 to 0Apr 15, 2025 to May 21, 2025
- Accounts · 2,516 to 2,583Sep 11, 2024 to Apr 15, 2025
- Charity clients · 10 to 9Sep 11, 2024 to Apr 15, 2025
- HNW clients · 212 to 224Sep 11, 2024 to Apr 15, 2025
- Individual clients · 246 to 250Sep 11, 2024 to Apr 15, 2025
- Assets in custody · $360M to $365MSep 11, 2024 to Apr 15, 2025
- Employees · 19 to 21Sep 11, 2024 to Apr 15, 2025
- State-registered IARs · 8 to 9Sep 11, 2024 to Apr 15, 2025
- Discretionary RAUM · $1.6B to $1.8BSep 11, 2024 to Apr 15, 2025
- HNW RAUM · $1.2B to $1.4BSep 11, 2024 to Apr 15, 2025
- Individual RAUM · $94.3M to $89.3MSep 11, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $553M to $502MSep 11, 2024 to Apr 15, 2025
- Pension RAUM · $4.0M to $4.9MSep 11, 2024 to Apr 15, 2025
- RAUM · $2.1B to $2.3BSep 11, 2024 to Apr 15, 2025
- Related insurance company · false to trueSep 11, 2024 to Apr 15, 2025
- Accounts · 2,316 to 2,516Sep 27, 2023 to Mar 27, 2024
- Charity clients · 9 to 10Sep 27, 2023 to Mar 27, 2024
- Corporate clients · 13 to 12Sep 27, 2023 to Mar 27, 2024
- HNW clients · 197 to 212Sep 27, 2023 to Mar 27, 2024
- Individual clients · 243 to 246Sep 27, 2023 to Mar 27, 2024
- Assets in custody · $354M to $360MSep 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.5B to $1.6BSep 27, 2023 to Mar 27, 2024
- HNW RAUM · $1.1B to $1.2BSep 27, 2023 to Mar 27, 2024
- Individual RAUM · $90.4M to $94.3MSep 27, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $483M to $553MSep 27, 2023 to Mar 27, 2024
- Pension RAUM · $3.4M to $4.0MSep 27, 2023 to Mar 27, 2024
Signals
7 dated events
- Paul E Salvetti left Lvw Advisors, Llc for Farther (registered 2026-08-20)Aug 17, 2026 · Advisor changed firm · fact
- Jonathan Thomas left Lvw Advisors, Llc for Jql Wealth (registered 2026-04-14)Apr 14, 2026 · Advisor changed firm · fact
- Alan Richard Dyer (Chief Operating Officer) appeared on Schedule A of Lvw Advisors, LlcJul 24, 2024 · Control person joined · fact
- Congdon Kim Pugliese (Chief Operating Officer) no longer on Schedule A of Lvw Advisors, Llc (listed 2024-05-13, absent 2024-07-24)Jul 24, 2024 · Control person left · inference
- Ashley Sullivan left Lvw Advisors, Llc for Strategic Advisers Llc (registered 2025-04-24)Aug 11, 2023 · Advisor changed firm · fact
- Reed Jeffrey Wagner (Senior Partner And Principal) appeared on Schedule A of Lvw Advisors, LlcMar 31, 2023 · Control person joined · fact
- Congdon Kim Pugliese (Chief Operating Officer) appeared on Schedule A of Lvw Advisors, LlcMar 31, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- LVW Advisors, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 585-267-4900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-267-4920reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-504-4599reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/lvw-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- lvwadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 585-267-4900reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- lvwadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- lvwadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026