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•••• I••••••••• M•••••••••
Legal name G•••• N••••••• A•••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jan 30, 2013 · 22 filings
SEC status approved since Feb 19, 2013
RAUM
$73.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$55.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$73.1M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$73.1M as of Mar 25, 2026
Mar 12, 2014$56.3M then
HNW client RAUM$49.4M as of Mar 25, 2026
Mar 24, 2020$39.7M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 12, 20140 then
Employees (5.A)5 as of Mar 25, 2026
Mar 12, 20141 then
Private funds: no history
RAUM +14% over the last fiscal year+1.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$49.4M71%
- Corporations and businesses$10.6M15%
- Individuals$6.4M9.2%
- Pension and profit-sharing plans$3.2M4.6%
- Individual clients
- 15reported
- HNW clients
- 14reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 61reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• D•••• Z••••••••Chartered Financial Analyst | Winter Park, Fl | Mar 24, 2020 | 15 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
- M••• D•••• Z•••••••• from Z•• I••••••••• M••••••••• I••Mar 24, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••••••• M•••• D•••• · Chief Executive Officer And Chief Compliance Officercontrolsince 12/2012 · owns less than 5%
- R•••• A•••••••• · Shareholdercontrolsince 10/2019 · owns 25% to 50% of G••• A••••••••• C••••
- Z••••••••• M•••• D•••• · Ownercontrolsince 12/2012 · owns 50% to 75% of G••• A••••••••• C••••
Entity owners
- G••• A••••••••• C•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L•••• T•••••• G••••• L••bankn
- L•••• W••••• M•••••••••investment advisernRAUM $109M
Advisers that list L•••• I••••••••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Individual clients · 17 to 15Mar 21, 2025 to Mar 25, 2026
- Pension plan clients · 1 to 2Mar 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $64.2M to $73.1MMar 21, 2025 to Mar 25, 2026
- HNW RAUM · $42.4M to $49.4MMar 21, 2025 to Mar 25, 2026
- Individual RAUM · $7.9M to $6.4MMar 21, 2025 to Mar 25, 2026
- Pension RAUM · $949,894 to $3.2MMar 21, 2025 to Mar 25, 2026
- RAUM · $64.2M to $73.1MMar 21, 2025 to Mar 25, 2026
- Wrap assets (manager) · $2.8M to $1.6MMar 21, 2025 to Mar 25, 2026
- Accounts · 63 to 61Mar 15, 2024 to Mar 21, 2025
- HNW clients · 13 to 14Mar 15, 2024 to Mar 21, 2025
- Individual clients · 18 to 17Mar 15, 2024 to Mar 21, 2025
- Employees · 6 to 5Mar 15, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 21, 2025
- Discretionary RAUM · $61.6M to $64.2MMar 15, 2024 to Mar 21, 2025
- HNW RAUM · $39.2M to $42.4MMar 15, 2024 to Mar 21, 2025
- Individual RAUM · $8.4M to $7.9MMar 15, 2024 to Mar 21, 2025
- Pension RAUM · $978,676 to $949,894Mar 15, 2024 to Mar 21, 2025
- RAUM · $61.6M to $64.2MMar 15, 2024 to Mar 21, 2025
- Wrap assets (manager) · $2.5M to $2.8MMar 15, 2024 to Mar 21, 2025
- Accounts · 66 to 63Nov 3, 2023 to Mar 15, 2024
- HNW clients · 14 to 13Nov 3, 2023 to Mar 15, 2024
- Individual clients · 17 to 18Nov 3, 2023 to Mar 15, 2024
- Pension plan clients · 3 to 1Nov 3, 2023 to Mar 15, 2024
- Discretionary RAUM · $70.6M to $61.6MNov 3, 2023 to Mar 15, 2024
- HNW RAUM · $35.0M to $39.2MNov 3, 2023 to Mar 15, 2024
- Individual RAUM · $6.5M to $8.4MNov 3, 2023 to Mar 15, 2024
- Pension RAUM · $16.8M to $978,676Nov 3, 2023 to Mar 15, 2024
- RAUM · $70.6M to $61.6MNov 3, 2023 to Mar 15, 2024
- Wrap assets (manager) · $1.8M to $2.5MNov 3, 2023 to Mar 15, 2024
- Accounts · 64 to 66Mar 23, 2022 to Mar 10, 2023
- Corporate clients · unset to 2.0Mar 23, 2022 to Mar 10, 2023
- HNW clients · 15 to 14Mar 23, 2022 to Mar 10, 2023
- Individual clients · 15 to 17Mar 23, 2022 to Mar 10, 2023
- Pension plan clients · unset to 3.0Mar 23, 2022 to Mar 10, 2023
- Discretionary RAUM · $79.1M to $70.6MMar 23, 2022 to Mar 10, 2023
- HNW RAUM · $40.1M to $35.0MMar 23, 2022 to Mar 10, 2023
- Individual RAUM · $6.9M to $6.5MMar 23, 2022 to Mar 10, 2023
- Pension RAUM · $18.1M to $16.8MMar 23, 2022 to Mar 10, 2023
- RAUM · $79.1M to $70.6MMar 23, 2022 to Mar 10, 2023
- Wrap assets (manager) · $1.3M to $1.8MMar 23, 2022 to Mar 10, 2023
Signals
3 dated events
- Alexander Read (Shareholder) appeared on Schedule A of L•••• I••••••••• M•••••••••Sep 24, 2019 · Control person joined · fact
- G•••• N••••••• A•••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2013 · Succession (Item 4) · fact
- G•••• N••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jan 30, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••• I••••••••• M••••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@lyonsinvest.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 386-775-1177reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- lyonsinvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 386-775-1177reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- lyonsinvest.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $73.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026