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.
Former SEC-registered adviser
Lion Street Advisors, LLC
Latest filing Apr 1, 2025
First filing on the tape Apr 26, 2013 · 57 filings
SEC status approved since Mar 16, 2016
RAUM
$3.2B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
85%
$2.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
152
138 advisory (5.B.1)
Offices
75
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$3.2B as of Apr 1, 2025
Mar 28, 2014$0 then
HNW client RAUM$418M as of Apr 1, 2025
Mar 26, 2018$130M then
State-registered IARs (5.B.3)141 as of Apr 1, 2025
Mar 28, 20142 then
Employees (5.A)152 as of Apr 1, 2025
Mar 28, 20143 then
Private funds: no history
RAUM +36% over the last fiscal year+31% a year over threeIARs 141 to 141offices 27 to 75
Practice profile
derived from the filing of Apr 1, 2025; every figure names its basis
- RAUM per advisor
- $22.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $414,367derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.9derived76 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +57%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $130MreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.3B72%
- Pension and profit-sharing plans$467M15%
- High-net-worth individuals$418M13%
- Individual clients
- 7,668reported
- HNW clients
- 112reported
- Pension plan clients
- 21reported
- Charitable clients
- n/areported
- Accounts
- 7,668reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
18 left, 1 joined in 12 months
net -17 in 12 months0 left in 90 days0 joined in 90 days48 left over 36 months
Left, latest
- Scott Patrick Kelley to Brooker Wealth ManagementNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Nolan Mitchell Parker to Brooker Wealth ManagementNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Shelley Leavitt Nadel to Csenge Advisory Group, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Nichole Renee Zahner to Riskbridge Advisors, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Joseph Campedelli to Csenge Advisory Group, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Norman Douglas Hostetler to Csenge Advisory Group, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Howard Mark Ramsamugh to Polaris Wealth Management, LLCNov 3, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Samson Kam Long Chan to Brooker Wealth ManagementNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Thomas Wayne Davis to Riskbridge Advisors, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jonathan Peter Sowa to Csenge Advisory Group, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew R Macdougall to Csenge Advisory Group, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Aviva Esther Sapers to Csenge Advisory Group, LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew Michael Nevin to Brooker Wealth ManagementNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Steven Carl Price to Reedmark Advisors, LLCOct 13, 2025 · Other
- Travis Edward Sollinger to Reedmark Advisors, LLCOct 13, 2025 · Other
Joined, latest
- Sean Abbas Haider from LPL Financial LLCOct 22, 2025 · Affiliated broker-dealer or bank to another
- Lindsay Bliek from D.A. Davidson & Co.Sep 10, 2025 · RIA to affiliated broker-dealer or bank
- Anthony Smith from Lodestar Private Asset Management LLCAug 13, 2025 · RIA to affiliated broker-dealer or bank
- Colin Coyle Steinberg from Arax Advisory PartnersAug 6, 2025 · RIA to affiliated broker-dealer or bank
- Douglas Robert Lederer from Ae Wealth Management, LLCAug 5, 2025 · RIA to affiliated broker-dealer or bank
- Charles A Jordan from New England Securities CorporationMay 24, 2025 · Other
- Martin Webb Koonce from Csenge Advisory Group, LLCMay 8, 2025 · RIA to affiliated broker-dealer or bank
- Robert Samuel Berz from Kestra Advisory Services, LLCMar 20, 2025 · Affiliated broker-dealer or bank to another
- Xiao Chen from Transamerica Financial Advisors, LLCFeb 5, 2025 · Affiliated broker-dealer or bank to another
- Daniel Bergan from Raymond James & Associates, Inc.Jan 13, 2025 · Affiliated broker-dealer or bank to another
- Andrew Schiro from Vere Asset Management, Inc.Dec 5, 2024 · Other
- Lovlean K Purewal from Morgan StanleyOct 17, 2024 · Wirehouse to affiliated broker-dealer or bank
- Cyler Clifton from MML Investors Services, LLCOct 16, 2024 · Affiliated broker-dealer or bank to another
- William Yex from Park Avenue Securities LLCOct 7, 2024 · Affiliated broker-dealer or bank to another
- Scott Lieb from J.P. Morgan Securities LLCAug 20, 2024 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Brooker Wealth ManagementNov 3, 2025 · San Ramon, Ca
- 2 left for Csenge Advisory Group, LLCNov 3, 2025 · Newton, Ma
- 4 left for Csenge Advisory Group, LLCNov 3, 2025 · Austin, Tx
- 2 left for Reedmark Advisors, LLCOct 13, 2025 · Pittsburgh, Pa
- 2 left for Citizens Securities, Inc.Apr 23, 2025 · Bellevue, Wa
- 2 left for Accelerate RetirementNov 15, 2024 · Austin, Tx
- 2 left for Legacy Wealth Management, LLCOct 16, 2023 · San Ramon, Ca
- 3 left for Valmark Advisers, Inc.Jan 9, 2023 · Dallas, Tx
- 4 joined from J.P. Morgan Securities LLCAug 1, 2024 · Manhattan Beach, Ca
- 2 joined from Park Avenue Securities LLCJul 31, 2023 · Beachwood, Oh
- 2 joined from Pruco Securities, LLCJul 14, 2023 · Sunbury, Oh
- 2 joined from Ameritas Advisory ServicesMay 17, 2021 · Glendale, Az
- 3 joined from M Holdings Securities, Inc.May 4, 2020 · Lake Forest, Ca
- 2 joined from M Holdings Securities, Inc.May 4, 2020 · Highland, Ut
- 2 joined from Kestra Advisory Services, LLCMar 28, 2020 · Austin, Tx
- 2 joined from Kestra Advisory Services, LLCSep 10, 2019 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Fredrick John Burmeister · President & Ceocontrolsince 11/2013 · owns less than 5%
- Marie Carie Heckler · Ccocontrolsince 05/2013 · owns less than 5%
- Kari Ratajczak · Chief Accounting Officercontrolsince 05/2020 · owns less than 5%
Entity owners
- Lion Street, LLC · Holding Companydirect · owns 75% or more
- Integrity Marketing Acquisition, LLC · Indirect Ownerindirect · owns 75% or more of Integrity Marketing Partners, LLC
- Integrity Marketing Intermediate, LLC · Indirect Ownerindirect · owns 75% or more of Integrity Marketing Acquisition, LLC
- Integrity Marketing Parent, LLC · Indirect Ownerindirect · owns 75% or more of Integrity Marketing Intermediate, LLC
- Integrity Marketing Partners, LLC · Indirect Ownerindirect · owns 75% or more of Lion Street, LLC
- Integrity, LLC · Indirect Ownerindirect · owns 75% or more of Integrity Marketing Parent, LLC
Related persons
Schedule D 7.A
- Annexus Securities, LLCbroker-dealern
- Integrity Alliance, LLCbroker-dealerinvestment advisernRAUM $5.4B
- First Palladium, LLCbroker-dealern
- Gladstone Wealth Partnersinvestment advisernRAUM $5.7B
- Integrity Advisory Solutionsinvestment advisernRAUM $1.1B
- Lion Street Financial, LLCbroker-dealern
- Lion Street, LLCreal estaten
- Wealth Managementinvestment advisernRAUM $3.7B
Advisers that list Lion Street Advisors, LLC as a related person
- 139627 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clearwater, Fl | 0 | 0 | 1 | ||
| Dallas, Tx | 0 | 0 | 0 | ||
| Eugene, Or | 0 | 0 | 1 | ||
| Flossmoor, Il | 0 | 0 | 1 | ||
| Hope, Ar | 0 | 0 | 0 | ||
| Houston, Tx | 0 | 0 | 1 | ||
| Milledgeville, Ga | 0 | 0 | 0 | ||
| Newport, Ca | 0 | 0 | 0 | ||
| Newton, Ma | 0 | 0 | 2 | 1 | |
| Omaha, Ne | 0 | 0 | 0 | ||
| Philadelphia, Pa | 0 | 0 | 0 | ||
| Pittsburgh, Pa | 0 | 0 | 2 | 1 | |
| Red Bank, Nj | 0 | 0 | 1 | ||
| Sacramento, Ca | 0 | 0 | 0 | ||
| Bellevue, Wa | 0 | 0 | 0 | ||
| Boulder, Co | 0 | 0 | 0 | ||
| Austin, Tx · principal | 0 | 0 | 5 | 1 | |
| Tyler, Tx | 0 | 0 | 0 | ||
| San Ramon, Ca | 0 | 0 | 5 | 1 | |
| Colorado Springs, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA7 employees
- San Ramon, CA6 employees
- Newton, MA6 employees
- Tyler, TX5 employees
- Waco, TX5 employees
- Cedar Rapids, IA5 employees
- Cleveland, OH3 employees
- Mission, KS3 employees
- Fargo, ND3 employees
- Pittsburgh, PA3 employees
- Lake Forest, CA3 employees
- Austin, TX2 employees
- Tampa, FL2 employees
- Lake Oswego, OR2 employees
- Sunbury, OH2 employees
- Clearwater, FL2 employees
- Weimar, TX2 employees
- Memphis, TN2 employees
- Eugene, OR2 employees
- Dallas, TX2 employees
- Clarksville, MD2 employees
- Sacramento, CA2 employees
- Newark, DE2 employees
- Naperville, IL2 employees
- Palm Beach Gardens, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 7,526 to 7,668Jun 26, 2024 to Apr 1, 2025
- Advisory employees · 141 to 138Jun 26, 2024 to Apr 1, 2025
- BD registered reps · 132 to 134Jun 26, 2024 to Apr 1, 2025
- HNW clients · 149 to 112Jun 26, 2024 to Apr 1, 2025
- Individual clients · 4,797 to 7,668Jun 26, 2024 to Apr 1, 2025
- Employees · 156 to 152Jun 26, 2024 to Apr 1, 2025
- Insurance-licensed employees · 12 to 11Jun 26, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 101-250Jun 26, 2024 to Apr 1, 2025
- Other offices · 27 to 75Jun 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $1.7B to $2.1BJun 26, 2024 to Apr 1, 2025
- HNW RAUM · $490M to $418MJun 26, 2024 to Apr 1, 2025
- Individual RAUM · $1.4B to $2.3BJun 26, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $645M to $1.1BJun 26, 2024 to Apr 1, 2025
- RAUM · $2.3B to $3.2BJun 26, 2024 to Apr 1, 2025
- Related insurance company · false to trueJun 26, 2024 to Apr 1, 2025
- Accounts · 4,709 to 7,526Sep 26, 2023 to Mar 30, 2024
- Advisory employees · 136 to 141Sep 26, 2023 to Mar 30, 2024
- BD registered reps · 136 to 132Sep 26, 2023 to Mar 30, 2024
- HNW clients · 172 to 149Sep 26, 2023 to Mar 30, 2024
- Individual clients · 2,040 to 4,797Sep 26, 2023 to Mar 30, 2024
- Pension plan clients · 18 to 21Sep 26, 2023 to Mar 30, 2024
- Employees · 146 to 156Sep 26, 2023 to Mar 30, 2024
- Insurance-licensed employees · 14 to 12Sep 26, 2023 to Mar 30, 2024
- State-registered IARs · 146 to 141Sep 26, 2023 to Mar 30, 2024
- Discretionary RAUM · $880M to $1.7BSep 26, 2023 to Mar 30, 2024
- HNW RAUM · $75.0M to $490MSep 26, 2023 to Mar 30, 2024
- Individual RAUM · $1.3B to $1.4BSep 26, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $521M to $645MSep 26, 2023 to Mar 30, 2024
- Pension RAUM · $4.5M to $467MSep 26, 2023 to Mar 30, 2024
- RAUM · $1.4B to $2.3BSep 26, 2023 to Mar 30, 2024
- Accounts · 4,119 to 4,709Feb 17, 2023 to Mar 31, 2023
- Advisory employees · 121 to 136Feb 17, 2023 to Mar 31, 2023
- BD registered reps · 115 to 136Feb 17, 2023 to Mar 31, 2023
- HNW clients · 150 to 172Feb 17, 2023 to Mar 31, 2023
- Individual clients · 2,933 to 2,040Feb 17, 2023 to Mar 31, 2023
- Pension plan clients · 13 to 18Feb 17, 2023 to Mar 31, 2023
- Employees · 127 to 146Feb 17, 2023 to Mar 31, 2023
- State-registered IARs · 115 to 146Feb 17, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $880MFeb 17, 2023 to Mar 31, 2023
- HNW RAUM · $475M to $75.0MFeb 17, 2023 to Mar 31, 2023
Signals
60 dated events
- Lion Street Advisors, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $3.2B)Dec 20, 2025 · Left the SEC roster · derived
- Samson Kam Long Chan left Lion Street Advisors, Llc for Brooker Wealth Management (registered 2025-02-21)Nov 3, 2025 · Advisor changed firm · fact
- Scott Patrick Kelley left Lion Street Advisors, Llc for Brooker Wealth Management (registered 2025-02-21)Nov 3, 2025 · Advisor changed firm · fact
- Andrew R Macdougall left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2021-02-09)Nov 3, 2025 · Advisor changed firm · fact
- Nichole Renee Zahner left Lion Street Advisors, Llc for Riskbridge Advisors, Llc (registered 2025-03-20)Nov 3, 2025 · Advisor changed firm · fact
- Joseph Campedelli left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2023-11-29)Nov 3, 2025 · Advisor changed firm · fact
- Nolan Mitchell Parker left Lion Street Advisors, Llc for Brooker Wealth Management (registered 2025-02-21)Nov 3, 2025 · Advisor changed firm · fact
- Andrew Michael Nevin left Lion Street Advisors, Llc for Brooker Wealth Management (registered 2025-02-21)Nov 3, 2025 · Advisor changed firm · fact
- Norman Douglas Hostetler left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2022-04-26)Nov 3, 2025 · Advisor changed firm · fact
- Aviva Esther Sapers left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2021-02-23)Nov 3, 2025 · Advisor changed firm · fact
- Shelley Leavitt Nadel left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2021-09-07)Nov 3, 2025 · Advisor changed firm · fact
- Howard Mark Ramsamugh left Lion Street Advisors, Llc for Polaris Wealth Management, Llc (registered 2021-11-03)Nov 3, 2025 · Advisor changed firm · fact
- Thomas Wayne Davis left Lion Street Advisors, Llc for Riskbridge Advisors, Llc (registered 2025-03-17)Nov 3, 2025 · Advisor changed firm · fact
- Jonathan Peter Sowa left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2019-02-25)Nov 3, 2025 · Advisor changed firm · fact
- Eric Jason Caisse no longer registered at Lion Street Advisors, Llc; no later IA registration on IAPDNov 3, 2025 · Advisor departure · fact
- 2 advisors left Lion Street Advisors, LLC (Newton, MA) for Csenge Advisory Group, LLC on the same dayNov 3, 2025 · Team lift-out · derived
- 4 advisors left Lion Street Advisors, LLC (San Ramon, CA) for Brooker Wealth Management on the same dayNov 3, 2025 · Team lift-out · derived
- 4 advisors left Lion Street Advisors, LLC (Austin, TX) for Csenge Advisory Group, LLC on the same dayNov 3, 2025 · Team lift-out · derived
- Vincent Ernest Zullo left Lion Street Advisors, Llc for Reedmark Advisors, Llc (registered 2025-03-04)Oct 13, 2025 · Advisor changed firm · fact
- Travis Edward Sollinger left Lion Street Advisors, Llc for Reedmark Advisors, Llc (registered 2024-12-03)Oct 13, 2025 · Advisor changed firm · fact
- Steven Carl Price left Lion Street Advisors, Llc for Reedmark Advisors, Llc (registered 2025-02-18)Oct 13, 2025 · Advisor changed firm · fact
- 2 advisors left Lion Street Advisors, LLC (Pittsburgh, PA) for Reedmark Advisors, LLC on the same dayOct 13, 2025 · Team lift-out · derived
- Anthony Smith left Lion Street Advisors, Llc for Brooker Wealth Management (registered 2025-08-15)Sep 18, 2025 · Advisor changed firm · fact
- Kristina Chuck Sabbatini left Lion Street Advisors, Llc for Legacy Wealth Management, Llc (registered 2025-09-18)Sep 17, 2025 · Advisor changed firm · fact
- Allix C Dennis left Lion Street Advisors, Llc for Csenge Advisory Group, Llc (registered 2025-09-03)Aug 28, 2025 · Advisor changed firm · fact
- Gregory James Vance left Lion Street Advisors, Llc for Kestra Advisory Services, Llc (registered 2025-08-01)Jul 25, 2025 · Advisor changed firm · fact
- Davonta Issiah Martin left Lion Street Advisors, Llc for Raymond James Financial Services Advisors, Inc (registered 2025-09-25)Jun 30, 2025 · Advisor changed firm · fact
- Cyler Clifton left Lion Street Advisors, Llc for J.P. Morgan Securities Llc (registered 2025-06-16)Jun 10, 2025 · Advisor changed firm · fact
- William Yex left Lion Street Advisors, Llc for Apollon Wealth Management, Llc (registered 2025-09-17)May 23, 2025 · Advisor changed firm · fact
- Will Heaton Hendricks left Lion Street Advisors, Llc for Citizens Private Wealth (registered 2026-05-11)Apr 23, 2025 · Advisor changed firm · 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