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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Former SEC-registered adviser

L•••••••• A•••• M••••••••• L••

Former SEC-registered adviserEl Dorado Hills, CaliforniaCRD 166781SEC 801-119512IAPD
Latest filing Mar 30, 2022
First filing on the tape Aug 21, 2020 · 6 filings
RAUM
$90.2M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$89.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$90.2M as of Mar 30, 2022
Mar 11, 2021$104M then
HNW client RAUM$60.4M as of Mar 30, 2022
Mar 11, 2021$70.0M then
State-registered IARs (5.B.3)1 as of Mar 30, 2022
Mar 11, 20211 then
Employees (5.A)1 as of Mar 30, 2022
Mar 11, 20211 then
Private funds: no history
RAUM -13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
RAUM per advisor
$90.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
167derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$359,363derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+22%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$60.4M67%
  • Individuals$29.1M32%
  • Pension and profit-sharing plans$750,0000.8%
Individual clients
126reported
HNW clients
41reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
251reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••• M••••••• M••••• · Managing Member - Ccocontrol
    since 03/2013 · owns 75% or more
  • B••••• C••••••••• L••• · Owner
    since 08/2020 · owns 10% to 25%
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 · 238 to 251
    Mar 11, 2021 to Mar 30, 2022
  • HNW clients · 80 to 41
    Mar 11, 2021 to Mar 30, 2022
  • Individual clients · 57 to 126
    Mar 11, 2021 to Mar 30, 2022
  • Discretionary RAUM · $100M to $80.5M
    Mar 11, 2021 to Mar 30, 2022
  • HNW RAUM · $70.0M to $60.4M
    Mar 11, 2021 to Mar 30, 2022
  • Individual RAUM · $33.0M to $29.1M
    Mar 11, 2021 to Mar 30, 2022
  • Non-discretionary RAUM · $4.0M to $9.7M
    Mar 11, 2021 to Mar 30, 2022
  • Pension RAUM · $1.0M to $750,000
    Mar 11, 2021 to Mar 30, 2022
  • RAUM · $104M to $90.2M
    Mar 11, 2021 to Mar 30, 2022
  • Accounts · 182 to 238
    Dec 10, 2020 to Mar 11, 2021
  • Business name · L•••••••• A•••• M••••••••• I••• to L•••••••• A•••• M••••••••• L••
    Dec 10, 2020 to Mar 11, 2021
  • HNW clients · 16 to 80
    Dec 10, 2020 to Mar 11, 2021
  • Individual clients · 74 to 57
    Dec 10, 2020 to Mar 11, 2021
  • Pension plan clients · 0 to 1
    Dec 10, 2020 to Mar 11, 2021
  • Legal name · L•••••••• A•••• M••••••••• I••• to L•••••••• A•••• M••••••••• L••
    Dec 10, 2020 to Mar 11, 2021
  • Discretionary RAUM · $98.8M to $100M
    Dec 10, 2020 to Mar 11, 2021
  • HNW RAUM · $81.0M to $70.0M
    Dec 10, 2020 to Mar 11, 2021
  • Individual RAUM · $21.4M to $33.0M
    Dec 10, 2020 to Mar 11, 2021
  • Non-discretionary RAUM · $3.5M to $4.0M
    Dec 10, 2020 to Mar 11, 2021
  • Pension RAUM · $0 to $1.0M
    Dec 10, 2020 to Mar 11, 2021
  • RAUM · $102M to $104M
    Dec 10, 2020 to Mar 11, 2021
  • Business name · L•••••••• A•••• M••••••••• L•• to L•••••••• A•••• M••••••••• I•••
    Aug 26, 2020 to Sep 24, 2020
  • Legal name · L•••••••• A•••• M••••••••• L•• to L•••••••• A•••• M••••••••• I•••
    Aug 26, 2020 to Sep 24, 2020
  • Succession · true to false
    Aug 26, 2020 to Sep 24, 2020
  • Organization form · Limited Liability Company to Corporation
    Aug 21, 2020 to Aug 26, 2020
  • Succession · false to true
    Aug 21, 2020 to Aug 26, 2020
Signals
3 dated events
  • M•••••• M••••• K•••••• left L•••••••• A•••• M••••••••• L•• for A•••••••• F••••• O•••••• L•• (registered 2024-12-06)
    Jun 7, 2022 · Advisor changed firm · fact
  • L•••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 26, 2020 · Succession (Item 4) · fact
  • L•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 21, 2020 · 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.
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
Former SEC-registered adviserderiveda 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