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••• B•••• W••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Apr 19, 2018 · 41 filings
SEC status approved since May 21, 2018
RAUM
$340M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$321M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$85.1M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$340M as of Mar 20, 2026
Mar 29, 2019$121M then
HNW client RAUM$282M as of Mar 20, 2026
Mar 29, 2019$82.3M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Mar 29, 20194 then
Employees (5.A)7 as of Mar 20, 2026
Mar 29, 20199 then
Private funds3 as of Mar 20, 2026
Mar 29, 20193 then
RAUM +9.7% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $85.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $478,128derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 5.G
- Custody
- $313M, 205 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$282M83%
- Individuals$38.2M11%
- Pooled investment vehicles$19.9M5.8%
- Individual clients
- 112reported
- HNW clients
- 94reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 712reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $313M for 205 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.06 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• D• L•••••••Certified Financial Planner | Miami, Fl | May 14, 2014 | 27 y | 3 |
| M••••• S• S•••••• | Naperville, Il | Mar 22, 2016 | 32 y | 1 |
| F••••• G•••••Certified Financial Planner | Naperville, Il | Aug 8, 2016 | 27 y | 5 |
| B•••• C••••••••• D•••• | Naperville, Il | Feb 12, 2021 | 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 headcount1 left over 36 months
Left, latest
- G••• J••••• S•••••••• to 8••• S•• W••••• M••••••••• L••Jan 25, 2024 · Other
- M••• D••••• H•••• to H•••••• L••• I••••••••• L••May 26, 2021 · RIA to a state-registered adviser
Joined, latest
- F••••• G••••• from S•••••••• A••••••• L••Aug 8, 2016 · Affiliated broker-dealer or bank to independent RIA
- M••••• S• S•••••• from W•••• F•••• A•••••••Mar 22, 2016 · Wirehouse to independent RIA
- N••••• D• L••••••• from W•••• F•••• A•••••••May 14, 2014 · Wirehouse to independent RIA
- G••• J••••• S•••••••• from A•••• W••••• A•••••••• L••Apr 21, 2014 · RIA to RIA
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• B•••• C•••••• A••••••••• M••••• F••• L•• | Hedge Fund | $15.7M | 39 | Sep 26, 2018 |
| L••• B•••• C•••••• A••••••••• F•••• L••• | Hedge Fund | $11.3M | 25 | Apr 19, 2018 |
| L••• B•••• C•••••• A••••••••• O••••••• L•• | Hedge Fund | $4.4M | 15 | Sep 26, 2018 |
Owners and control persons
Schedule A and B, latest filing
- L•••••••• N•••••• D• · Managing Membercontrolsince 05/2014 · owns 75% or more
- S••••••••• G•••• J••••• · Chief Compliance Officersince 05/2014 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Naperville, Il · principal | 4 | 0 | 0 | ||
| Plainfield, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 650 to 712Sep 4, 2025 to Mar 20, 2026
- HNW clients · 117 to 94Sep 4, 2025 to Mar 20, 2026
- Individual clients · 85 to 112Sep 4, 2025 to Mar 20, 2026
- Assets in custody · $304M to $313MSep 4, 2025 to Mar 20, 2026
- Discretionary RAUM · $310M to $340MSep 4, 2025 to Mar 20, 2026
- HNW RAUM · $248M to $282MSep 4, 2025 to Mar 20, 2026
- Individual RAUM · $42.6M to $38.2MSep 4, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $19.2M to $19.9MSep 4, 2025 to Mar 20, 2026
- RAUM · $310M to $340MSep 4, 2025 to Mar 20, 2026
- Financial planning clients · 101-250 to 101-250Mar 11, 2025 to May 15, 2025
- Accounts · 613 to 650Nov 8, 2024 to Feb 26, 2025
- HNW clients · 58 to 117Nov 8, 2024 to Feb 26, 2025
- Individual clients · 148 to 85Nov 8, 2024 to Feb 26, 2025
- Assets in custody · $12.5M to $304MNov 8, 2024 to Feb 26, 2025
- Discretionary RAUM · $243M to $310MNov 8, 2024 to Feb 26, 2025
- HNW RAUM · $121M to $248MNov 8, 2024 to Feb 26, 2025
- Individual RAUM · $107M to $42.6MNov 8, 2024 to Feb 26, 2025
- Pooled vehicle RAUM · $15.7M to $19.2MNov 8, 2024 to Feb 26, 2025
- RAUM · $243M to $310MNov 8, 2024 to Feb 26, 2025
- Accounts · 633 to 613Dec 6, 2023 to Mar 21, 2024
- Advisory employees · 4 to 6Dec 6, 2023 to Mar 21, 2024
- HNW clients · 64 to 58Dec 6, 2023 to Mar 21, 2024
- Individual clients · 125 to 148Dec 6, 2023 to Mar 21, 2024
- Assets in custody · $172M to $12.5MDec 6, 2023 to Mar 21, 2024
- Employees · 5 to 7Dec 6, 2023 to Mar 21, 2024
- Discretionary RAUM · $212M to $243MDec 6, 2023 to Mar 21, 2024
- HNW RAUM · $159M to $121MDec 6, 2023 to Mar 21, 2024
- Individual RAUM · $36.2M to $107MDec 6, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $16.7M to $15.7MDec 6, 2023 to Mar 21, 2024
- RAUM · $212M to $243MDec 6, 2023 to Mar 21, 2024
- Accounts · 638 to 633Jan 26, 2023 to Mar 17, 2023
- Advisory activities · 3 to 5Jan 26, 2023 to Mar 17, 2023
- HNW clients · 83 to 64Jan 26, 2023 to Mar 17, 2023
- Individual clients · 213 to 125Jan 26, 2023 to Mar 17, 2023
- Pooled vehicle clients · 2 to 1Jan 26, 2023 to Mar 17, 2023
- Assets in custody · $268M to $172MJan 26, 2023 to Mar 17, 2023
- Employees · 6 to 5Jan 26, 2023 to Mar 17, 2023
- Discretionary RAUM · $323M to $212MJan 26, 2023 to Mar 17, 2023
- HNW RAUM · $209M to $159MJan 26, 2023 to Mar 17, 2023
- Individual RAUM · $65.9M to $36.2MJan 26, 2023 to Mar 17, 2023
Signals
4 dated events
- G••• J••••• S•••••••• left L••• B•••• W••••• M••••••••• L•• for 8••• S•• W••••• M••••••••• L•• (registered 2014-09-15)Jan 25, 2024 · Advisor changed firm · fact
- L••• B•••• W••••• M••••••••• L•• reported RAUM $212.2M, down 34% from $323.1M (2023-01-26 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- L••• B•••• W••••• M••••••••• L•• reported RAUM $286.1M, up 71% from $167.5M (2020-08-19 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- L••• B•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 19, 2018 · 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 email
- info@leftbrainwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-797-9080reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-517-9300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 786-673-5040reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/3778005/adminreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/22305434/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••B••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-517-9300reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- LEFTBRAINWM.COM/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- LEFTBRAINWM.COM/teamreportedpublished by the firm, firm site, Sep 15, 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
- $85.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026