DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

L•••••• D•••• A•••

No RAUM reportedCRD 167584SEC 801-78050IAPD
Latest filing Jan 26, 2026
First filing on the tape May 6, 2013 · 14 filings
SEC status approved since May 20, 2013
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Jan 26, 2026
Mar 25, 2014$1.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 26, 2026
Mar 25, 20140 then
Employees (5.A)1 as of Jan 26, 2026
Mar 25, 20141 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• D••••• A••• · Ceo & Chief Compliance Officercontrol
        since 06/2011 · 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
      • Accounts · unset to 0.0
        Jan 9, 2024 to Jan 14, 2025
      • Financial planning clients · 0 to 0
        Jan 9, 2024 to Jan 14, 2025
      • HQ city · unset to
        Jan 9, 2024 to Jan 14, 2025
      • HQ state · unset to
        Jan 9, 2024 to Jan 14, 2025
      • Discretionary RAUM · unset to 0.0
        Jan 9, 2024 to Jan 14, 2025
      • Non-discretionary RAUM · unset to 0.0
        Jan 9, 2024 to Jan 14, 2025
      • RAUM · unset to 0.0
        Jan 9, 2024 to Jan 14, 2025
      • Accounts · 1.0 to unset
        Jan 13, 2021 to Jan 10, 2022
      • Advisory employees · 1 to 0
        Jan 13, 2021 to Jan 10, 2022
      • Discretionary RAUM · 2.0 to unset
        Jan 13, 2021 to Jan 10, 2022
      • Individual RAUM · 2.0 to unset
        Jan 13, 2021 to Jan 10, 2022
      • Non-discretionary RAUM · 0.0 to unset
        Jan 13, 2021 to Jan 10, 2022
      • RAUM · 2.0 to unset
        Jan 13, 2021 to Jan 10, 2022
      • Accounts · 3 to 1
        Jan 9, 2019 to Jan 9, 2020
      • Individual clients · 5.0 to unset
        Jan 9, 2019 to Jan 9, 2020
      • Financial planning clients · 1-10 to 0
        Jan 9, 2019 to Jan 9, 2020
      • Discretionary RAUM · $1.1M to $2
        Jan 9, 2019 to Jan 9, 2020
      • Individual RAUM · $1.1M to $2
        Jan 9, 2019 to Jan 9, 2020
      • RAUM · $1.1M to $2
        Jan 9, 2019 to Jan 9, 2020
      • Accounts · 10 to 3
        Jan 31, 2018 to Jan 9, 2019
      • Individual clients · 10 to 5
        Jan 31, 2018 to Jan 9, 2019
      • Financial planning clients · 26-50 to 1-10
        Jan 31, 2018 to Jan 9, 2019
      • Discretionary RAUM · $1.0M to $1.1M
        Jan 31, 2018 to Jan 9, 2019
      • Individual RAUM · $1.0M to $1.1M
        Jan 31, 2018 to Jan 9, 2019
      • RAUM · $1.0M to $1.1M
        Jan 31, 2018 to Jan 9, 2019
      • Accounts · unset to 10.0
        Jan 11, 2017 to Jan 31, 2018
      • Individual clients · unset to 10.0
        Jan 11, 2017 to Jan 31, 2018
      • Other offices · unset to 0.0
        Jan 11, 2017 to Jan 31, 2018
      • Discretionary RAUM · unset to 1000000.0
        Jan 11, 2017 to Jan 31, 2018
      • Individual RAUM · unset to 1000000.0
        Jan 11, 2017 to Jan 31, 2018
      • Non-discretionary RAUM · unset to 0.0
        Jan 11, 2017 to Jan 31, 2018
      • RAUM · unset to 1000000.0
        Jan 11, 2017 to Jan 31, 2018
      • Accounts · 20.0 to unset
        Jan 25, 2016 to Jan 11, 2017
      • Financial planning clients · unset to 26-50
        Jan 25, 2016 to Jan 11, 2017
      • Discretionary RAUM · 1250000.0 to unset
        Jan 25, 2016 to Jan 11, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Jan 25, 2016 to Jan 11, 2017
      • RAUM · 1250000.0 to unset
        Jan 25, 2016 to Jan 11, 2017
      • Accounts · 15 to 20
        Jan 26, 2015 to Jan 25, 2016
      • Discretionary RAUM · $1.1M to $1.3M
        Jan 26, 2015 to Jan 25, 2016
      • RAUM · $1.1M to $1.3M
        Jan 26, 2015 to Jan 25, 2016
      Signals
      1 dated events
      • L•••••• D•••• A••• filed its initial SEC registration (Form ADV)
        May 6, 2013 · 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
      Principal office phone
      941-2171099reportedpublic record, Form ADV, Jan 26, 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
      No RAUM reportedderiveda 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