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•••••• S•••••• A•••••••• L••

Former SEC-registered adviserWilliamsville, New YorkCRD 167632SEC 801-78073IAPD
Latest filing Mar 29, 2023
First filing on the tape May 13, 2013 · 15 filings
RAUM
$39.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$39.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$39.5M as of Mar 29, 2023
Mar 5, 2014$38.6M then
HNW client RAUM$25.1M as of Mar 29, 2023
Mar 26, 2018$13.1M then
State-registered IARs (5.B.3)2 as of Mar 29, 2023
Mar 5, 20140 then
Employees (5.A)3 as of Mar 29, 2023
Mar 5, 20142 then
Private funds: no history
RAUM -24% over the last fiscal year+6.1% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
RAUM per advisor
$19.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$783,198derivedHNW RAUM over HNW clients
Average account
$229,429derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-24%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$25.1M64%
  • Individuals$14.4M36%
Individual clients
140reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
172reported
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
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
      • H••••• J•••••• B•••• · Managing Member And Chief Compliance Officercontrol
        since 03/2014 · 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 · 203 to 172
        Mar 27, 2022 to Mar 29, 2023
      • Advisory employees · 3 to 2
        Mar 27, 2022 to Mar 29, 2023
      • BD registered reps · 3 to 2
        Mar 27, 2022 to Mar 29, 2023
      • HNW clients · 49 to 32
        Mar 27, 2022 to Mar 29, 2023
      • Individual clients · 154 to 140
        Mar 27, 2022 to Mar 29, 2023
      • State-registered IARs · 3 to 2
        Mar 27, 2022 to Mar 29, 2023
      • Other offices · 1 to 0
        Mar 27, 2022 to Mar 29, 2023
      • Discretionary RAUM · $51.9M to $39.5M
        Mar 27, 2022 to Mar 29, 2023
      • HNW RAUM · $36.3M to $25.1M
        Mar 27, 2022 to Mar 29, 2023
      • Individual RAUM · $15.6M to $14.4M
        Mar 27, 2022 to Mar 29, 2023
      • RAUM · $51.9M to $39.5M
        Mar 27, 2022 to Mar 29, 2023
      • Accounts · 165 to 203
        Mar 18, 2021 to Mar 27, 2022
      • HNW clients · 34 to 49
        Mar 18, 2021 to Mar 27, 2022
      • Individual clients · 131 to 154
        Mar 18, 2021 to Mar 27, 2022
      • Discretionary RAUM · $35.6M to $51.9M
        Mar 18, 2021 to Mar 27, 2022
      • HNW RAUM · $13.5M to $36.3M
        Mar 18, 2021 to Mar 27, 2022
      • Individual RAUM · $22.1M to $15.6M
        Mar 18, 2021 to Mar 27, 2022
      • RAUM · $35.6M to $51.9M
        Mar 18, 2021 to Mar 27, 2022
      • Accounts · 151 to 165
        Jul 1, 2020 to Mar 18, 2021
      • Advisory employees · 2 to 3
        Jul 1, 2020 to Mar 18, 2021
      • BD registered reps · 2 to 3
        Jul 1, 2020 to Mar 18, 2021
      • HNW clients · 30 to 34
        Jul 1, 2020 to Mar 18, 2021
      • Individual clients · 121 to 131
        Jul 1, 2020 to Mar 18, 2021
      • Employees · 2 to 3
        Jul 1, 2020 to Mar 18, 2021
      • State-registered IARs · 2 to 3
        Jul 1, 2020 to Mar 18, 2021
      • Other offices · 0 to 1
        Jul 1, 2020 to Mar 18, 2021
      • Discretionary RAUM · $24.9M to $35.6M
        Jul 1, 2020 to Mar 18, 2021
      • HNW RAUM · $15.5M to $13.5M
        Jul 1, 2020 to Mar 18, 2021
      • Individual RAUM · $17.5M to $22.1M
        Jul 1, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $8.2M to $0
        Jul 1, 2020 to Mar 18, 2021
      • RAUM · $33.1M to $35.6M
        Jul 1, 2020 to Mar 18, 2021
      • Accounts · 153 to 151
        Mar 20, 2019 to Mar 26, 2020
      • HNW clients · 32 to 30
        Mar 20, 2019 to Mar 26, 2020
      • Other offices · 1 to 0
        Mar 20, 2019 to Mar 26, 2020
      • Discretionary RAUM · $28.6M to $24.9M
        Mar 20, 2019 to Mar 26, 2020
      • HNW RAUM · $12.8M to $15.5M
        Mar 20, 2019 to Mar 26, 2020
      • Individual RAUM · $15.8M to $17.5M
        Mar 20, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $0 to $8.2M
        Mar 20, 2019 to Mar 26, 2020
      • RAUM · $28.6M to $33.1M
        Mar 20, 2019 to Mar 26, 2020
      • Accounts · 146 to 153
        Mar 26, 2018 to Mar 20, 2019
      Signals
      1 dated events
      • L•••••• S•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 13, 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.
      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