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•••••••• A••••• C•••••• M••••••••• L••
Latest filing Aug 7, 2026
First filing on the tape Mar 1, 2022 · 9 filings
SEC status approved since Mar 31, 2022
RAUM
$164M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
45%
$73.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$164M as of Aug 7, 2026
Feb 23, 2023$105M then
HNW client RAUM$54.3M as of Aug 7, 2026
Feb 23, 2023$27.6M then
State-registered IARs (5.B.3)3 as of Aug 7, 2026
Feb 23, 20233 then
Employees (5.A)3 as of Aug 7, 2026
Feb 23, 20233 then
Private funds: no history
RAUM +14% over the last fiscal year+16% a year over threeIARs 3 to 3offices 1 to 2
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
- RAUM per advisor
- $54.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $670,325derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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
- +8.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$79.3M48%
- High-net-worth individuals$54.3M33%
- Individuals$19.5M12%
- Pension and profit-sharing plans$11.1M6.7%
- Individual clients
- 46reported
- HNW clients
- 21reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 245reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• L••••••••Certified Financial Planner, Chartered Financial Analyst | New City, Ny | Aug 15, 2021 | 24 y | 1 |
| S••• J•••• L•••••••• | Decatur, Ga | Feb 10, 2023 | 11 y | 0 |
| C•••••• P••••• L•• | Redwood City, Ca | Jan 1, 2026 | 17 y | 1 |
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
- T•••••• A••• M•••••• to C••••••••• W•••••• L••Sep 30, 2022 · RIA to RIA
- S••••• C• T•• to S•• W••••• M••••••••• L••Jan 22, 2018 · RIA to a state-registered adviser
Joined, latest
- C•••••• P••••• L•• from P••••••••• A••••••• S••••••• L••Jan 1, 2026 · Other
- L•••• L•••••••• from P••••••••• A••••••• S••••••• L••Aug 15, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• L•••• · Managing Member & Chief Compliance Officercontrolsince 05/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New City, Ny | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 240 to 245Nov 25, 2025 to Mar 6, 2026
- HNW clients · 17 to 21Nov 25, 2025 to Mar 6, 2026
- Individual clients · 45 to 46Nov 25, 2025 to Mar 6, 2026
- Discretionary RAUM · $136M to $153MNov 25, 2025 to Mar 6, 2026
- HNW RAUM · $37.0M to $54.3MNov 25, 2025 to Mar 6, 2026
- Individual RAUM · $32.0M to $19.5MNov 25, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $8.6M to $11.1MNov 25, 2025 to Mar 6, 2026
- Pension RAUM · $8.6M to $11.1MNov 25, 2025 to Mar 6, 2026
- RAUM · $144M to $164MNov 25, 2025 to Mar 6, 2026
- Other offices · 1 to 2Feb 3, 2025 to Nov 25, 2025
- Accounts · 238 to 240Feb 16, 2024 to Feb 3, 2025
- Corporate clients · unset to 1.0Feb 16, 2024 to Feb 3, 2025
- HNW clients · 13 to 17Feb 16, 2024 to Feb 3, 2025
- Individual clients · 53 to 45Feb 16, 2024 to Feb 3, 2025
- Pension plan clients · 9 to 6Feb 16, 2024 to Feb 3, 2025
- Employees · 4 to 3Feb 16, 2024 to Feb 3, 2025
- Financial planning clients · 1-10 to 1-10Feb 16, 2024 to Feb 3, 2025
- HQ city · unset to Feb 16, 2024 to Feb 3, 2025
- HQ state · unset to Feb 16, 2024 to Feb 3, 2025
- Discretionary RAUM · $114M to $136MFeb 16, 2024 to Feb 3, 2025
- HNW RAUM · $33.2M to $37.0MFeb 16, 2024 to Feb 3, 2025
- Individual RAUM · $22.4M to $32.0MFeb 16, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $9.8M to $8.6MFeb 16, 2024 to Feb 3, 2025
- Pension RAUM · $9.8M to $8.6MFeb 16, 2024 to Feb 3, 2025
- RAUM · $123M to $144MFeb 16, 2024 to Feb 3, 2025
- Accounts · 219 to 238Apr 14, 2023 to Feb 16, 2024
- HNW clients · 14 to 13Apr 14, 2023 to Feb 16, 2024
- Individual clients · 54 to 53Apr 14, 2023 to Feb 16, 2024
- Pension plan clients · 7 to 9Apr 14, 2023 to Feb 16, 2024
- Employees · 3 to 4Apr 14, 2023 to Feb 16, 2024
- Discretionary RAUM · $97.2M to $114MApr 14, 2023 to Feb 16, 2024
- HNW RAUM · $27.6M to $33.2MApr 14, 2023 to Feb 16, 2024
- Individual RAUM · $18.0M to $22.4MApr 14, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $8.0M to $9.8MApr 14, 2023 to Feb 16, 2024
- Pension RAUM · $8.0M to $9.8MApr 14, 2023 to Feb 16, 2024
- RAUM · $105M to $123MApr 14, 2023 to Feb 16, 2024
- Accounts · 354 to 219Mar 15, 2022 to Feb 23, 2023
- Advisory employees · 5 to 3Mar 15, 2022 to Feb 23, 2023
- HNW clients · 15 to 14Mar 15, 2022 to Feb 23, 2023
- Individual clients · 94 to 54Mar 15, 2022 to Feb 23, 2023
Signals
2 dated events
- T•••••• A••• M•••••• left L•••••••• A••••• C•••••• M••••••••• L•• for C••••••••• W•••••• L•• (registered 2022-10-20)Sep 30, 2022 · Advisor changed firm · fact
- L•••••••• A••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2022 · 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
- Business phone
- 510-502-7400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-708-5306reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- lexingtonave.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-708-5306reportedpublic record, Form ADV, Aug 7, 2026
- Contact form
- lexingtonave.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $54.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026