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••••••• L•••••• F•••••• A•••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 10, 2014 · 25 filings
SEC status approved since Apr 3, 2014
RAUM
$84.2M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$83.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$84.2M as of Apr 30, 2026
Mar 26, 2015$77.7M then
HNW client RAUM$83.6M as of Apr 30, 2026
Mar 28, 2018$78.8M then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 26, 20151 then
Employees (5.A)2 as of Apr 30, 2026
Mar 26, 20153 then
Private funds: no history
RAUM n/a over the last fiscal year+2.0% a year over three
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $779,453derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $6.7M, 5 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.6M99%
- Corporations and businesses$574,3910.7%
- Individual clients
- 0reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 108reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• S••••• F••••••Chartered Financial Analyst | New York, Ny | May 16, 2023 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• M•••••• S••••• · Chief Investment Officercontrolsince 03/2014 · owns less than 5%
- L•••••• M••••••• M•••• · Chief Executive Officer / Ccocontrolsince 09/2015 · owns less than 5%
- F••••••• M•••••• S••••• · Managing Membercontrolsince 06/2012 · owns 75% or more of F••••••••• L••
- G••••••• C•••• · Managing Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- G••••••• G•••••• · Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- G••••••• J•••••• J••••• · Managing Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- G••••••• M•••• · Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- H•••••••• D••••• P••••• · Managing Membercontrolsince 11/2010 · owns 50% to 75% of D•••••• L••
- H•••••••• R••• A•••• · Managing Membercontrolsince 11/2010 · owns 50% to 75% of D•••••• L••
- L•••••• M••••••• M•••• · Chief Executive Officer, Chief Compliance Officer, Class Bcontrolsince 04/2010 · owns 75% or more of L••••• & Co LLC
Entity owners
- F••••••••• L•• · Memberdirect · owns 25% to 50%
- L••••• • C•• · Memberdirect · owns 75% or more
- D•••••• L•• · Member, Class Aindirect · owns 25% to 50% of L••••• • C••• L••
- G•••••• C•••••• G••••• L•• · Member, Class Aindirect · owns 25% to 50% of L••••• & Co, LLC
Related persons
Schedule D 7.A
- L••••• • C••investment adviseryRAUM $153M
Advisers that list L••••••• L•••••• F•••••• A•••••••• L•• as a related person
- 153771 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 108May 1, 2025 to Mar 30, 2026
- Corporate clients · 1 to 2May 1, 2025 to Mar 30, 2026
- HNW clients · 50 to 51May 1, 2025 to Mar 30, 2026
- Assets in custody · $4.5M to $6.7MMay 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $65.1M to $80.1MMay 1, 2025 to Mar 30, 2026
- HNW RAUM · $66.8M to $83.6MMay 1, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.2M to $4.1MMay 1, 2025 to Mar 30, 2026
- RAUM · $67.3M to $84.2MMay 1, 2025 to Mar 30, 2026
- Accounts · 108 to 99Apr 22, 2024 to May 1, 2025
- Corporate clients · 2 to 1Apr 22, 2024 to May 1, 2025
- HNW clients · 56 to 50Apr 22, 2024 to May 1, 2025
- Assets in custody · $4.7M to $4.5MApr 22, 2024 to May 1, 2025
- Financial planning clients · 0 to 0Apr 22, 2024 to May 1, 2025
- Discretionary RAUM · $78.8M to $65.1MApr 22, 2024 to May 1, 2025
- HNW RAUM · $79.1M to $66.8MApr 22, 2024 to May 1, 2025
- Non-discretionary RAUM · $2.2M to $2.2MApr 22, 2024 to May 1, 2025
- RAUM · $81.0M to $67.3MApr 22, 2024 to May 1, 2025
- Accounts · 111 to 108Mar 28, 2023 to Mar 29, 2024
- HNW clients · 59 to 56Mar 28, 2023 to Mar 29, 2024
- Assets in custody · $3.3M to $4.7MMar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $75.8M to $78.8MMar 28, 2023 to Mar 29, 2024
- HNW RAUM · $78.4M to $79.1MMar 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.5M to $2.2MMar 28, 2023 to Mar 29, 2024
- RAUM · $79.2M to $81.0MMar 28, 2023 to Mar 29, 2024
- Accounts · 100 to 111Mar 30, 2022 to Mar 28, 2023
- HNW clients · 55 to 59Mar 30, 2022 to Mar 28, 2023
- Assets in custody · $1.9M to $3.3MMar 30, 2022 to Mar 28, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $88.4M to $75.8MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $87.3M to $78.4MMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $0 to $3.5MMar 30, 2022 to Mar 28, 2023
- RAUM · $88.4M to $79.2MMar 30, 2022 to Mar 28, 2023
- Accounts · 97 to 100Mar 25, 2021 to Mar 30, 2022
- Corporate clients · 1 to 2Mar 25, 2021 to Mar 30, 2022
- HNW clients · 56 to 55Mar 25, 2021 to Mar 30, 2022
- Assets in custody · $4.0M to $1.9MMar 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $75.7M to $88.4MMar 25, 2021 to Mar 30, 2022
- HNW RAUM · $75.3M to $87.3MMar 25, 2021 to Mar 30, 2022
- RAUM · $75.7M to $88.4MMar 25, 2021 to Mar 30, 2022
- Accounts · 79 to 97Jun 18, 2020 to Mar 25, 2021
Signals
1 dated events
- L••••••• L•••••• F•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2014 · 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
- 212-319-8903reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-319-8903reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026