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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L•• W••••• A••••••• O• C•••••••• I•••

Former SEC-registered adviserBasking Ridge, New JerseyCRD 168480SEC 801-78400IAPD
Latest filing Feb 27, 2019
First filing on the tape Jul 29, 2013 · 20 filings
RAUM
$30.3M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$30.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$30.3M as of Feb 27, 2019
Mar 20, 2014$9.2M then
HNW client RAUM$24.2M as of Feb 27, 2019
Mar 15, 2018$16.2M then
State-registered IARs (5.B.3)1 as of Feb 27, 2019
Mar 20, 20141 then
Employees (5.A)2 as of Feb 27, 2019
Mar 20, 20141 then
Private funds: no history
RAUM +11% over the last fiscal year+21% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 2019; every figure names its basis
RAUM per advisor
$30.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$280,130derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$60.5MreportedItem 5.I
Custody
$140,877, 3 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$24.2M80%
  • Individuals$6.1M20%
Individual clients
17reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
108reported
Financial planning clients
0reported
Wrap fee programs
$30.3M sponsored, $30.3M managedreported
Custody of client assets
$140,877 for 3 clientsreported
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
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
    • L•••••• L••••• A•••• · President And Ccocontrol
      since 06/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Edwards, CO1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 116 to 108
      Jun 6, 2018 to Feb 27, 2019
    • Advisory activities · 4 to 3
      Jun 6, 2018 to Feb 27, 2019
    • HNW clients · 15 to 22
      Jun 6, 2018 to Feb 27, 2019
    • Individual clients · 20 to 17
      Jun 6, 2018 to Feb 27, 2019
    • Employees · 1 to 2
      Jun 6, 2018 to Feb 27, 2019
    • Financial planning clients · 1-10 to 0
      Jun 6, 2018 to Feb 27, 2019
    • Discretionary RAUM · $23.7M to $26.2M
      Jun 6, 2018 to Feb 27, 2019
    • HNW RAUM · $16.2M to $24.2M
      Jun 6, 2018 to Feb 27, 2019
    • Individual RAUM · $11.0M to $6.1M
      Jun 6, 2018 to Feb 27, 2019
    • Non-discretionary RAUM · $3.5M to $4.0M
      Jun 6, 2018 to Feb 27, 2019
    • RAUM · $27.2M to $30.3M
      Jun 6, 2018 to Feb 27, 2019
    • Wrap assets (manager) · $27.2M to $30.3M
      Jun 6, 2018 to Feb 27, 2019
    • Wrap assets (sponsor) · $27.2M to $30.3M
      Jun 6, 2018 to Feb 27, 2019
    • Assets in custody · unset to 140877.0
      Mar 15, 2018 to Mar 21, 2018
    • Custody of client assets · false to true
      Mar 15, 2018 to Mar 21, 2018
    • Accounts · 92 to 116
      Aug 4, 2017 to Mar 15, 2018
    • HNW clients · unset to 15.0
      Aug 4, 2017 to Mar 15, 2018
    • Individual clients · unset to 20.0
      Aug 4, 2017 to Mar 15, 2018
    • Financial planning clients · 11-25 to 1-10
      Aug 4, 2017 to Mar 15, 2018
    • Other offices · unset to 1.0
      Aug 4, 2017 to Mar 15, 2018
    • Discretionary RAUM · $19.8M to $23.7M
      Aug 4, 2017 to Mar 15, 2018
    • HNW RAUM · unset to 16155000.0
      Aug 4, 2017 to Mar 15, 2018
    • Individual RAUM · unset to 11037000.0
      Aug 4, 2017 to Mar 15, 2018
    • Non-discretionary RAUM · $3.3M to $3.5M
      Aug 4, 2017 to Mar 15, 2018
    • RAUM · $23.1M to $27.2M
      Aug 4, 2017 to Mar 15, 2018
    • Wrap assets (manager) · unset to 27192000.0
      Aug 4, 2017 to Mar 15, 2018
    • Wrap assets (sponsor) · unset to 27192000.0
      Aug 4, 2017 to Mar 15, 2018
    • Accounts · 89 to 92
      Mar 30, 2017 to Jun 8, 2017
    • Discretionary RAUM · $18.8M to $19.8M
      Mar 30, 2017 to Jun 8, 2017
    • Non-discretionary RAUM · $3.4M to $3.3M
      Mar 30, 2017 to Jun 8, 2017
    • RAUM · $22.2M to $23.1M
      Mar 30, 2017 to Jun 8, 2017
    • Accounts · 68 to 89
      Jan 30, 2017 to Mar 30, 2017
    • Financial planning clients · 26-50 to 11-25
      Jan 30, 2017 to Mar 30, 2017
    • Discretionary RAUM · $13.0M to $18.8M
      Jan 30, 2017 to Mar 30, 2017
    • Non-discretionary RAUM · $4.2M to $3.4M
      Jan 30, 2017 to Mar 30, 2017
    • RAUM · $17.2M to $22.2M
      Jan 30, 2017 to Mar 30, 2017
    • Accounts · 59 to 68
      Apr 28, 2015 to Mar 29, 2016
    • Financial planning clients · 11-25 to 26-50
      Apr 28, 2015 to Mar 29, 2016
    • Discretionary RAUM · $11.0M to $13.0M
      Apr 28, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $4.7M to $4.2M
      Apr 28, 2015 to Mar 29, 2016
    Signals
    1 dated events
    • L•• W••••• A••••••• O• C•••••••• I••• filed its initial SEC registration (Form ADV)
      Jul 29, 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