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.
SEC-registered adviser
L••••• W•••••• L••
Latest filing Mar 6, 2026
First filing on the tape Apr 9, 2014 · 12 filings
SEC status approved since Mar 24, 2023
RAUM
$536M
reported, Item 5.F
Discretionary
22%
of RAUM
Private clients
100%
$536M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$536M as of Mar 6, 2026
Mar 3, 2015$27.3M then
HNW client RAUM$534M as of Mar 6, 2026
Mar 7, 2024$447M then
State-registered IARs (5.B.3)4 as of Mar 6, 2026
Mar 3, 20152 then
Employees (5.A)6 as of Mar 6, 2026
Mar 3, 20154 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 6, 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
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.2MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 22%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $24.5M, 16 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$534M100%
- Individuals$1.7M0.3%
- Individual clients
- 17reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 224reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.5M for 16 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• P•••• F•••••• A•••••• | Norwalk, Ct | Sep 22, 2014 | 19 y | 2 |
| R•••••• J••• L••••• | Norwalk, Ct | Sep 22, 2014 | 32 y | 3 |
| J•••••• P•••• B•••• | Norwalk, Ct | Jun 29, 2015 | 30 y | 0 |
| E•••••• L••••• | Norwalk, Ct | Jun 16, 2025 | 10 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
- Y••••• A•• R•••••• to C•••••••• G••••• M•••••• I•••Apr 9, 2020 · Other
Joined, latest
- Y••••• A•• R•••••• from M••••• S••••••Sep 13, 2019 · Other
- R•••••• J••• L••••• from M••••• S••••••Sep 22, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• P•••• F•••••• A•••••• from M••••• S••••••Sep 22, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• P•••• · Chief Investment Officer, Head Of Investments And Researchcontrolsince 06/2015 · owns less than 5%
- F•••••• A••••••• J••••••• P•••• · Chief Operating Officer And Chief Compliance Officercontrolsince 07/2014 · owns less than 5%
- L•••••• R••••••• J••• · Founder And Ceocontrolsince 03/2014 · owns less than 5%
- L•••••• R••••••• J••• · Founder And Chief Executive Officercontrolsince 03/2014 · owns 75% or more of L••••• • C••• L••
- L•••••• J••••••••• L••••• · Membersince 01/2023 · owns 5% to 10%
- P•••••••• C••••••• L••••• · Membersince 01/2023 · owns 5% to 10%
Entity owners
- L••••• • C••• L•• · Owner - Holding Companydirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Norwalk, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 197 to 224Jun 26, 2025 to Mar 6, 2026
- Advisory employees · 3 to 4Jun 26, 2025 to Mar 6, 2026
- HNW clients · 59 to 58Jun 26, 2025 to Mar 6, 2026
- Individual clients · 14 to 17Jun 26, 2025 to Mar 6, 2026
- Assets in custody · $24.0M to $24.5MJun 26, 2025 to Mar 6, 2026
- Financial planning clients · to 0Jun 26, 2025 to Mar 6, 2026
- State-registered IARs · 3 to 4Jun 26, 2025 to Mar 6, 2026
- Discretionary RAUM · $67.8M to $116MJun 26, 2025 to Mar 6, 2026
- HNW RAUM · $486M to $534MJun 26, 2025 to Mar 6, 2026
- Individual RAUM · $961,362 to $1.7MJun 26, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $419M to $420MJun 26, 2025 to Mar 6, 2026
- RAUM · $487M to $536MJun 26, 2025 to Mar 6, 2026
- Financial planning clients · unset to Mar 6, 2025 to Jun 26, 2025
- Accounts · 179 to 197Dec 18, 2024 to Mar 6, 2025
- Individual clients · 12 to 14Dec 18, 2024 to Mar 6, 2025
- Assets in custody · $30.7M to $24.0MDec 18, 2024 to Mar 6, 2025
- Employees · 5 to 6Dec 18, 2024 to Mar 6, 2025
- Discretionary RAUM · $12.6M to $67.8MDec 18, 2024 to Mar 6, 2025
- HNW RAUM · $447M to $486MDec 18, 2024 to Mar 6, 2025
- Individual RAUM · $1.6M to $961,362Dec 18, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $436M to $419MDec 18, 2024 to Mar 6, 2025
- RAUM · $449M to $487MDec 18, 2024 to Mar 6, 2025
- Accounts · 163 to 179Feb 21, 2023 to Mar 7, 2024
- HNW clients · 57 to 59Feb 21, 2023 to Mar 7, 2024
- Individual clients · 7 to 12Feb 21, 2023 to Mar 7, 2024
- Assets in custody · $7.1M to $30.7MFeb 21, 2023 to Mar 7, 2024
- Employees · 4 to 5Feb 21, 2023 to Mar 7, 2024
- Discretionary RAUM · $15.8M to $12.6MFeb 21, 2023 to Mar 7, 2024
- HNW RAUM · $410M to $447MFeb 21, 2023 to Mar 7, 2024
- Individual RAUM · $480,189 to $1.6MFeb 21, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $395M to $436MFeb 21, 2023 to Mar 7, 2024
- RAUM · $411M to $449MFeb 21, 2023 to Mar 7, 2024
- Accounts · 38 to 163Apr 16, 2015 to Feb 21, 2023
- Advisory activities · 3 to 2Apr 16, 2015 to Feb 21, 2023
- HNW clients · unset to 57.0Apr 16, 2015 to Feb 21, 2023
- Individual clients · unset to 7.0Apr 16, 2015 to Feb 21, 2023
- Assets in custody · unset to 7069341.0Apr 16, 2015 to Feb 21, 2023
- Custody of client assets · false to trueApr 16, 2015 to Feb 21, 2023
- Financial planning clients · 0 to unsetApr 16, 2015 to Feb 21, 2023
- HQ city · WESTON to NORWALKApr 16, 2015 to Feb 21, 2023
Signals
2 dated events
- Peter Jeffrey Boris (Chief Investment Officer, Head Of Investments And Research) appeared on Schedule A of L••••• W•••••• L••Feb 21, 2023 · Control person joined · fact
- L••••• W•••••• L•• filed its initial SEC registration (Form ADV)Apr 9, 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
- Website
- L•••••ANDCO.COM/L•••••-WEALTHreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (203) 227-8000reportedpublic record, Form ADV, Mar 6, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026