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•• F••• S•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jul 2, 2012 · 33 filings
SEC status approved since Aug 2, 2012
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$30.3M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$151M as of Mar 19, 2026
Mar 29, 2014$129M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 19, 2026
Mar 29, 20142 then
Employees (5.A)6 as of Mar 19, 2026
Mar 29, 20144 then
Private funds4 as of Mar 19, 2026
Mar 25, 20153 then
RAUM -9.9% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $30.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $37.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $82.6M, 2 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$151M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.6M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••••• B•••••••• | New York, Ny | Dec 5, 2012 | 15 y | 1 |
| K•••••• F•••••• D••••Certified Financial Planner | Edison, Nj | Jan 3, 2013 | 32 y | 3 |
| E••• S•••• K••• | Boca Raton, Fl | Jun 2, 2015 | 23 y | 1 |
| P•••• M• S•••• | Iselin, Nj | Dec 7, 2016 | 16 y | 0 |
| M•••••• J•••• A••••• | Edison, Nj | Sep 4, 2021 | 26 y | 1 |
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
- E••• S•••• K••• from G•••••• S•••• W••••• S•••••••• L•••Jun 2, 2015 · Other
- K•••••• F•••••• D•••• from F•• W••••• M••••••••• L••Jan 3, 2013 · Other
- M•••••• A•••••• B•••••••• from F•• W••••• M••••••••• L••Dec 5, 2012 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• P•••••• D••• F•••••••• L•no longer reported | Securitized Asset Fund | $108M | 90 | Sep 19, 2014 |
| L••••••• P•••••• I••••••••• A•••••• L•• | Private Equity Fund | $81.4M | 41 | Sep 19, 2014 |
| L•• M••••••••• P•••••• C••••• F•••• L• | Other Private Fund | $14.6M | 0 | Mar 21, 2023 |
| L•• O••••••••• Z••• F•••• L• | Private Equity Fund | $11.1M | 6 | Mar 9, 2022 |
| L••••••• G••• O••••••••• L••no longer reported | Other Private Fund | $5.4M | 17 | Sep 19, 2014 |
| L•• M••••••••• C••• H•••• F•••• L• | Hedge Fund | $5.0M | 7 | Sep 3, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• M••••••• J•••• · Ceocontrolsince 10/2017 · owns less than 5%
- R•••••• J••• D• · Chief Financial Officercontrolsince 10/2017 · owns less than 5%
- T••••• S••••••• D••••• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
Entity owners
- L•• C•••••• O••••••••• · Memberdirect · owns 75% or more
- L•• C•••••• C••• · Ownerindirect · owns 75% or more of Leo Capital Operations
Related persons
Schedule D 7.A
- Bft Financial Group, LLCbroker-dealernRAUM $609M
- L•• F••• M••••••••• L••pooled vehicle sponsorn
- L•• I•••••••• S••••••••• L••real estaten
- L•• T•• A•• C••••••••• S•••••••• L••insurancen
- Leo Wealth, LLCinvestment advisernRAUM $3.2B
Advisers that list L•• F••• S•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Edison, Nj · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $168M to $151MSep 23, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $168M to $151MSep 23, 2025 to Mar 19, 2026
- RAUM · $168M to $151MSep 23, 2025 to Mar 19, 2026
- HQ city · ISELIN to EDISONMar 21, 2025 to Sep 23, 2025
- Accounts · 3 to 4Sep 3, 2024 to Mar 21, 2025
- Pooled vehicle clients · 3 to 4Sep 3, 2024 to Mar 21, 2025
- Employees · 7 to 6Sep 3, 2024 to Mar 21, 2025
- Financial planning clients · unset to Sep 3, 2024 to Mar 21, 2025
- Discretionary RAUM · $107M to $168MSep 3, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $107M to $168MSep 3, 2024 to Mar 21, 2025
- RAUM · $107M to $168MSep 3, 2024 to Mar 21, 2025
- Private funds · 3 to 4Mar 18, 2024 to Sep 3, 2024
- Accounts · 6 to 3Oct 23, 2023 to Mar 18, 2024
- BD registered reps · 2 to 3Oct 23, 2023 to Mar 18, 2024
- Pooled vehicle clients · 2 to 3Oct 23, 2023 to Mar 18, 2024
- Insurance-licensed employees · 5 to 0Oct 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $105M to $107MOct 23, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $105M to $107MOct 23, 2023 to Mar 18, 2024
- RAUM · $105M to $107MOct 23, 2023 to Mar 18, 2024
- Accounts · 2 to 6May 10, 2022 to Mar 21, 2023
- BD registered reps · 0 to 2May 10, 2022 to Mar 21, 2023
- Employees · 10 to 7May 10, 2022 to Mar 21, 2023
- Private funds · 2 to 3May 10, 2022 to Mar 21, 2023
- Discretionary RAUM · $82.6M to $105MMay 10, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $82.6M to $105MMay 10, 2022 to Mar 21, 2023
- RAUM · $82.6M to $105MMay 10, 2022 to Mar 21, 2023
- Business name · LEOGROUP FUND SERVICES, LLC to LEO FUND SERVICES, LLCMar 9, 2022 to May 10, 2022
- Legal name · LEOGROUP FUND SERVICES, LLC to LEO FUND SERVICES, LLCMar 9, 2022 to May 10, 2022
- Accounts · 1 to 2May 5, 2021 to Mar 9, 2022
- Pooled vehicle clients · 1 to 2May 5, 2021 to Mar 9, 2022
- Assets in custody · $52.5M to $82.6MMay 5, 2021 to Mar 9, 2022
- Private funds · 1 to 2May 5, 2021 to Mar 9, 2022
- Discretionary RAUM · $52.5M to $82.6MMay 5, 2021 to Mar 9, 2022
- Pooled vehicle RAUM · $52.5M to $82.6MMay 5, 2021 to Mar 9, 2022
- RAUM · $52.5M to $82.6MMay 5, 2021 to Mar 9, 2022
- Related broker-dealer · false to trueMay 5, 2021 to Mar 9, 2022
- BD registered reps · 4 to 0Oct 22, 2020 to Mar 30, 2021
- Assets in custody · $23.2M to $52.5MOct 22, 2020 to Mar 30, 2021
- Employees · 9 to 10Oct 22, 2020 to Mar 30, 2021
- Discretionary RAUM · $23.2M to $52.5MOct 22, 2020 to Mar 30, 2021
Signals
5 dated events
- Dallas Stephen Tally (Chief Compliance Officer) appeared on Schedule A of Leo Fund Services, LlcMar 9, 2022 · Control person joined · fact
- Scott Eric Katz (Managing Director / Cco) no longer on Schedule A of Leo Fund Services, Llc (listed 2021-05-05, absent 2022-03-09)Mar 9, 2022 · Control person left · inference
- Frame Peter Marquardt (Chief Compliance Officer) no longer on Schedule A of Leo Fund Services, Llc (listed 2018-06-18, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Leo Fund Services, Llc reported RAUM $12.1M, down 90% from $127.1M (2017-02-22 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- The Leo Group, Llc filed its initial SEC registration (Form ADV)Jul 2, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- LEO Fund Services, LLC · Independent Sponsorsshared crd · capital_provider
- LEO Fund Services, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/leo-wealth/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- LEOWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-903-2600reportedpublic record, Form ADV, Mar 19, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026