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RIA Intelligence

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L••• I•••••••••

Former SEC-registered adviserFormer SEC adviserwebsite

Former SEC-registered adviser, reporting $6.5M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$6.5M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
+1 (1 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-94%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 166901 · SEC 801-96320 · 17 filingsShow
CRD 166901SEC 801-96320Legal name L••• I••••••••• L••First filing on the tape May 13, 2015, latest Aug 29, 2023IAPD
RAUM
$6.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.5M
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
17 filings and snapshots on the tape
RAUM$5.9M as of Mar 22, 2023
Mar 7, 2016$5.0M then
HNW client RAUM$2.5M as of Mar 18, 2022
Feb 19, 2018$1.3M then
State-registered IARs (5.B.3)1 as of Mar 22, 2023
Mar 7, 20161 then
Employees (5.A)1 as of Mar 22, 2023
Mar 7, 20163 then
Private funds: no history
RAUM -94% over the last fiscal year-53% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 29, 2023; every figure names its basis
RAUM per advisor
$6.5MderivedRAUM 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
$6.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%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
-94%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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$6.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• R••••••• H••••••••Certified Financial PlannerLafayette, CaSep 29, 202526 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• J••••• R••••••• · Managing Member/Chief Compliance Officercontrol
      since 02/2015 · owns 75% or more
    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
    • Advisory activities · 5 to 4
      Jul 10, 2023 to Jul 24, 2023
    • Business name · L••• I••••••••• L•• to L••• I•••••••••
      Jul 10, 2023 to Jul 24, 2023
    • Advisory activities · 3 to 5
      May 25, 2023 to Jul 10, 2023
    • Non-discretionary RAUM · $5.9M to $6.5M
      May 25, 2023 to Jul 10, 2023
    • RAUM · $5.9M to $6.5M
      May 25, 2023 to Jul 10, 2023
    • Accounts · 14 to 1
      Mar 18, 2022 to Mar 22, 2023
    • Advisory activities · 6 to 3
      Mar 18, 2022 to Mar 22, 2023
    • Charity clients · 13.0 to unset
      Mar 18, 2022 to Mar 22, 2023
    • HNW RAUM · 2485138.0 to unset
      Mar 18, 2022 to Mar 22, 2023
    • Non-discretionary RAUM · $106M to $5.9M
      Mar 18, 2022 to Mar 22, 2023
    • RAUM · $106M to $5.9M
      Mar 18, 2022 to Mar 22, 2023
    • Advisory employees · 2 to 1
      Nov 11, 2021 to Mar 18, 2022
    • Advisory activities · 5 to 6
      Nov 11, 2021 to Mar 18, 2022
    • Charity clients · 14 to 13
      Nov 11, 2021 to Mar 18, 2022
    • Employees · 2 to 1
      Nov 11, 2021 to Mar 18, 2022
    • State-registered IARs · 2 to 1
      Nov 11, 2021 to Mar 18, 2022
    • Other offices · 1 to 0
      Nov 11, 2021 to Mar 18, 2022
    • HNW RAUM · unset to 2485138.0
      Nov 11, 2021 to Mar 18, 2022
    • Non-discretionary RAUM · $90.9M to $106M
      Nov 11, 2021 to Mar 18, 2022
    • RAUM · $90.9M to $106M
      Nov 11, 2021 to Mar 18, 2022
    • Charity clients · 15 to 14
      Jan 8, 2021 to Mar 10, 2021
    • Non-discretionary RAUM · $63.8M to $90.9M
      Jan 8, 2021 to Mar 10, 2021
    • RAUM · $63.8M to $90.9M
      Jan 8, 2021 to Mar 10, 2021
    • Accounts · 12 to 14
      Mar 18, 2019 to Jan 28, 2020
    • Advisory employees · 1 to 2
      Mar 18, 2019 to Jan 28, 2020
    • Advisory activities · 6 to 5
      Mar 18, 2019 to Jan 28, 2020
    • Charity clients · 13 to 15
      Mar 18, 2019 to Jan 28, 2020
    • Employees · 1 to 2
      Mar 18, 2019 to Jan 28, 2020
    • State-registered IARs · 1 to 2
      Mar 18, 2019 to Jan 28, 2020
    • Other offices · 0 to 1
      Mar 18, 2019 to Jan 28, 2020
    • Non-discretionary RAUM · $34.5M to $63.8M
      Mar 18, 2019 to Jan 28, 2020
    • RAUM · $34.5M to $63.8M
      Mar 18, 2019 to Jan 28, 2020
    • Accounts · 9 to 12
      Feb 19, 2018 to Mar 8, 2019
    • Charity clients · 8 to 13
      Feb 19, 2018 to Mar 8, 2019
    • HNW clients · 1.0 to unset
      Feb 19, 2018 to Mar 8, 2019
    • Financial planning clients · 0 to unset
      Feb 19, 2018 to Mar 8, 2019
    • HNW RAUM · 1327612.0 to unset
      Feb 19, 2018 to Mar 8, 2019
    • Non-discretionary RAUM · $27.4M to $34.5M
      Feb 19, 2018 to Mar 8, 2019
    • RAUM · $27.4M to $34.5M
      Feb 19, 2018 to Mar 8, 2019
    • Accounts · 3 to 9
      Mar 8, 2017 to Feb 19, 2018
    Signals
    1 dated events
    • ••• Locked
      May 13, 2015 · 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
    Website
    ••• Lockedreportedpublic record, Form ADV, Jan 7, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $6.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026