DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L•••• A•••• M••••••••• I•••
Latest filing Feb 19, 2026
First filing on the tape Sep 16, 2014 · 23 filings
SEC status approved since Jan 11, 2022
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$303M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$331M as of Feb 19, 2026
Feb 7, 2015$104M then
HNW client RAUM$303M as of Feb 19, 2026
Jan 18, 2022$139M then
State-registered IARs (5.B.3)2 as of Feb 19, 2026
Feb 7, 20151 then
Employees (5.A)3 as of Feb 19, 2026
Feb 7, 20151 then
Private funds: no history
RAUM +27% over the last fiscal year+38% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $37.9MderivedHNW RAUM over HNW clients
- Average account
- $14.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$303M92%
- Charitable organizations$27.2M8.2%
- Individuals$601,8960.2%
- Individual clients
- 2reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 23reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• R•••••• L••••Chartered Financial Analyst | Yardley, Pa | Jul 25, 2012 | 28 y | 0 |
| M•••••• C••••••••• L••••Chartered Financial Analyst | Yardley, Pa | Feb 23, 2022 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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••••• M•••• R•••••• · Presidentcontrolsince 01/2001 · owns 75% or more
- M•••••• C•••••• W••••••• · Chief Compliance Officersince 09/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Yardley, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 23Feb 6, 2025 to Feb 19, 2026
- Charity clients · 1 to 2Feb 6, 2025 to Feb 19, 2026
- Assets in custody · unset to 0.0Feb 6, 2025 to Feb 19, 2026
- Financial planning clients · to 0Feb 6, 2025 to Feb 19, 2026
- Discretionary RAUM · $260M to $331MFeb 6, 2025 to Feb 19, 2026
- HNW RAUM · $239M to $303MFeb 6, 2025 to Feb 19, 2026
- Individual RAUM · $345,750 to $601,896Feb 6, 2025 to Feb 19, 2026
- RAUM · $260M to $331MFeb 6, 2025 to Feb 19, 2026
- Financial planning clients · unset to Jan 31, 2025 to Feb 6, 2025
- Accounts · 19 to 22Jul 30, 2024 to Jan 31, 2025
- HNW clients · 6 to 8Jul 30, 2024 to Jan 31, 2025
- Individual clients · 0 to 2Jul 30, 2024 to Jan 31, 2025
- HQ city · unset to Jul 30, 2024 to Jan 31, 2025
- HQ state · unset to Jul 30, 2024 to Jan 31, 2025
- Discretionary RAUM · $184M to $260MJul 30, 2024 to Jan 31, 2025
- HNW RAUM · $168M to $239MJul 30, 2024 to Jan 31, 2025
- Individual RAUM · $0 to $345,750Jul 30, 2024 to Jan 31, 2025
- RAUM · $184M to $260MJul 30, 2024 to Jan 31, 2025
- Accounts · 24 to 19Jan 24, 2023 to Jan 29, 2024
- Advisory activities · 2 to 1Jan 24, 2023 to Jan 29, 2024
- Individual clients · 1 to 0Jan 24, 2023 to Jan 29, 2024
- Discretionary RAUM · $126M to $184MJan 24, 2023 to Jan 29, 2024
- HNW RAUM · $113M to $168MJan 24, 2023 to Jan 29, 2024
- Individual RAUM · $883,863 to $0Jan 24, 2023 to Jan 29, 2024
- RAUM · $126M to $184MJan 24, 2023 to Jan 29, 2024
- Accounts · 22 to 24Jul 27, 2022 to Jan 24, 2023
- HNW clients · 8 to 6Jul 27, 2022 to Jan 24, 2023
- Individual clients · 0 to 1Jul 27, 2022 to Jan 24, 2023
- Discretionary RAUM · $155M to $126MJul 27, 2022 to Jan 24, 2023
- HNW RAUM · $139M to $113MJul 27, 2022 to Jan 24, 2023
- Individual RAUM · $0 to $883,863Jul 27, 2022 to Jan 24, 2023
- RAUM · $155M to $126MJul 27, 2022 to Jan 24, 2023
- Advisory employees · 1 to 2Jan 20, 2022 to Feb 24, 2022
- Employees · 2 to 3Jan 20, 2022 to Feb 24, 2022
- State-registered IARs · 1 to 2Jan 20, 2022 to Feb 24, 2022
- Accounts · 10 to 22Dec 14, 2021 to Jan 18, 2022
- Individual clients · 1 to 0Dec 14, 2021 to Jan 18, 2022
- Discretionary RAUM · $138M to $155MDec 14, 2021 to Jan 18, 2022
- HNW RAUM · $123M to $139MDec 14, 2021 to Jan 18, 2022
- Individual RAUM · $955,970 to $0Dec 14, 2021 to Jan 18, 2022
Signals
1 dated events
- L•••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Sep 16, 2014 · 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
- Business phone
- 215-801-1550reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 215-801-1550reportedpublic record, Form ADV, Feb 19, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- l•••••••••.comreportedpublished 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026