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•••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Feb 23, 2022 · 10 filings
SEC status approved since Mar 25, 2022
RAUM
$200M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
100%
$200M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$200M as of Jan 23, 2026
Jan 16, 2023$131M then
HNW client RAUM$185M as of Jan 23, 2026
Jan 16, 2023$116M then
State-registered IARs (5.B.3)2 as of Jan 23, 2026
Jan 16, 20231 then
Employees (5.A)2 as of Jan 23, 2026
Jan 16, 20231 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $512,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $200M, 81 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M93%
- Individuals$14.9M7.4%
- Individual clients
- 32reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 391reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 81 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R• L•••••••Certified Financial Planner, Personal Financial Specialist | Bloomington, In | Aug 16, 2012 | 18 y | 1 |
| M•• K••••• V•••••• | Bloomington, In | Jun 20, 2025 | 12 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
- J••• R• L••••••• from C••••• S••••• S••••••••• •••• L••Aug 16, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J•••• R• · President And Chief Compliance Officercontrolsince 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
- J••• L•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bloomington, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 368 to 391Oct 28, 2025 to Jan 23, 2026
- HNW clients · 46 to 50Oct 28, 2025 to Jan 23, 2026
- Individual clients · 35 to 32Oct 28, 2025 to Jan 23, 2026
- Assets in custody · $140M to $200MOct 28, 2025 to Jan 23, 2026
- Discretionary RAUM · $127M to $167MOct 28, 2025 to Jan 23, 2026
- HNW RAUM · $153M to $185MOct 28, 2025 to Jan 23, 2026
- Individual RAUM · $14.9M to $14.9MOct 28, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $40.2M to $33.0MOct 28, 2025 to Jan 23, 2026
- RAUM · $168M to $200MOct 28, 2025 to Jan 23, 2026
- Advisory employees · 1 to 2Feb 4, 2025 to Jun 20, 2025
- Employees · 1 to 2Feb 4, 2025 to Jun 20, 2025
- Financial planning clients · 51-100 to 51-100Feb 4, 2025 to Jun 20, 2025
- State-registered IARs · 1 to 2Feb 4, 2025 to Jun 20, 2025
- Accounts · 347 to 368Aug 8, 2024 to Feb 4, 2025
- HNW clients · 43 to 46Aug 8, 2024 to Feb 4, 2025
- Individual clients · 37 to 35Aug 8, 2024 to Feb 4, 2025
- Discretionary RAUM · $103M to $127MAug 8, 2024 to Feb 4, 2025
- HNW RAUM · $125M to $153MAug 8, 2024 to Feb 4, 2025
- Individual RAUM · $15.2M to $14.9MAug 8, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $37.3M to $40.2MAug 8, 2024 to Feb 4, 2025
- RAUM · $140M to $168MAug 8, 2024 to Feb 4, 2025
- Assets in custody · unset to 140251883.0Feb 26, 2024 to Aug 8, 2024
- Custody of client assets · false to trueFeb 26, 2024 to Aug 8, 2024
- Accounts · 332 to 347Jan 16, 2023 to Feb 6, 2024
- HNW clients · 39 to 43Jan 16, 2023 to Feb 6, 2024
- Individual clients · 40 to 37Jan 16, 2023 to Feb 6, 2024
- Discretionary RAUM · $97.0M to $103MJan 16, 2023 to Feb 6, 2024
- HNW RAUM · $116M to $125MJan 16, 2023 to Feb 6, 2024
- Individual RAUM · $14.6M to $15.2MJan 16, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $33.8M to $37.3MJan 16, 2023 to Feb 6, 2024
- RAUM · $131M to $140MJan 16, 2023 to Feb 6, 2024
- Accounts · 326 to 332Mar 28, 2022 to Jan 16, 2023
- HNW clients · 26 to 39Mar 28, 2022 to Jan 16, 2023
- Individual clients · 51 to 40Mar 28, 2022 to Jan 16, 2023
- Discretionary RAUM · $85.2M to $97.0MMar 28, 2022 to Jan 16, 2023
- HNW RAUM · $93.9M to $116MMar 28, 2022 to Jan 16, 2023
- Individual RAUM · $33.5M to $14.6MMar 28, 2022 to Jan 16, 2023
- Non-discretionary RAUM · $42.9M to $33.8MMar 28, 2022 to Jan 16, 2023
- Pension RAUM · 705063.0 to unsetMar 28, 2022 to Jan 16, 2023
- RAUM · $128M to $131MMar 28, 2022 to Jan 16, 2023
Signals
1 dated events
- L••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Feb 23, 2022 · 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
- 800-319-4808reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 812-552-2113reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L•••••••FIN.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 812-552-2113reportedpublic record, Form ADV, Jan 23, 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
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026