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
L••••• G••••• S••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Dec 15, 2011 · 26 filings
SEC status approved since Jan 5, 2012
RAUM
$1.6B
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
97%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.6B as of Mar 6, 2026
Mar 13, 2012$2.6B then
HNW client RAUM$1.5B as of Mar 6, 2026
Feb 21, 2018$4.0B then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 25, 20130 then
Employees (5.A)8 as of Mar 6, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +22% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $5.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B97%
- Charitable organizations$54.5M3.4%
- Individual clients
- 0reported
- HNW clients
- 172reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 288reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• J•••••••• · Managing Member/ Chief Compliance Officercontrolsince 02/2011 · owns 75% or more
- K•••••• M••••••• I• · Chief Financial Officersince 09/2012 · owns less than 5%
- N••••• P•••• · Chief Investment Officersince 01/2018 · owns less than 5%
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 · 268 to 288Feb 28, 2025 to Mar 6, 2026
- Advisory employees · 4 to 5Feb 28, 2025 to Mar 6, 2026
- Charity clients · 4 to 3Feb 28, 2025 to Mar 6, 2026
- HNW clients · 153 to 172Feb 28, 2025 to Mar 6, 2026
- Employees · 7 to 8Feb 28, 2025 to Mar 6, 2026
- Discretionary RAUM · $791M to $855MFeb 28, 2025 to Mar 6, 2026
- HNW RAUM · $1.3B to $1.5BFeb 28, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $520M to $748MFeb 28, 2025 to Mar 6, 2026
- RAUM · $1.3B to $1.6BFeb 28, 2025 to Mar 6, 2026
- Accounts · 196 to 268Feb 29, 2024 to Feb 28, 2025
- Charity clients · 3 to 4Feb 29, 2024 to Feb 28, 2025
- HNW clients · 146 to 153Feb 29, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Feb 28, 2025
- Discretionary RAUM · $655M to $791MFeb 29, 2024 to Feb 28, 2025
- HNW RAUM · $704M to $1.3BFeb 29, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $91.4M to $520MFeb 29, 2024 to Feb 28, 2025
- RAUM · $747M to $1.3BFeb 29, 2024 to Feb 28, 2025
- Accounts · 193 to 196Mar 13, 2023 to Feb 29, 2024
- Charity clients · 0 to 3Mar 13, 2023 to Feb 29, 2024
- HNW clients · 131 to 146Mar 13, 2023 to Feb 29, 2024
- Discretionary RAUM · $608M to $655MMar 13, 2023 to Feb 29, 2024
- HNW RAUM · $633M to $704MMar 13, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $78.3M to $91.4MMar 13, 2023 to Feb 29, 2024
- RAUM · $687M to $747MMar 13, 2023 to Feb 29, 2024
- Accounts · 168 to 193Feb 3, 2023 to Mar 13, 2023
- Charity clients · unset to 0.0Feb 3, 2023 to Mar 13, 2023
- HNW clients · 120 to 131Feb 3, 2023 to Mar 13, 2023
- Pension plan clients · 0.0 to unsetFeb 3, 2023 to Mar 13, 2023
- Discretionary RAUM · $704M to $608MFeb 3, 2023 to Mar 13, 2023
- HNW RAUM · $750M to $633MFeb 3, 2023 to Mar 13, 2023
- Non-discretionary RAUM · $108M to $78.3MFeb 3, 2023 to Mar 13, 2023
- RAUM · $812M to $687MFeb 3, 2023 to Mar 13, 2023
- Accounts · 159 to 168Mar 23, 2021 to Mar 21, 2022
- HNW clients · 117 to 120Mar 23, 2021 to Mar 21, 2022
- Discretionary RAUM · $550M to $704MMar 23, 2021 to Mar 21, 2022
- HNW RAUM · $684M to $750MMar 23, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $192M to $108MMar 23, 2021 to Mar 21, 2022
- RAUM · $742M to $812MMar 23, 2021 to Mar 21, 2022
- Accounts · 126 to 159May 7, 2020 to Mar 23, 2021
- HNW clients · 102 to 117May 7, 2020 to Mar 23, 2021
Signals
3 dated events
- L••••• G••••• S••••••••• L•• reported RAUM $1.3B, up 76% from $746.7M (2024-02-29 to 2025-02-28)Feb 28, 2025 · RAUM change · derived
- L••••• G••••• S••••••••• L•• reported RAUM $742.0M, up 32% from $561.6M (2020-05-07 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- L••••• G••••• S••••••••• L•• reported RAUM $604.8M, down 85% from $4.1B (2018-02-21 to 2019-03-19)Mar 19, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i••••••••@l•••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-542-5052reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- l•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-542-5052reportedpublic record, Form ADV, Mar 6, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026