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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Former SEC-registered adviser
L•• A••••••• S•••••••• L••
Latest filing Apr 3, 2026
First filing on the tape Jul 11, 2014 · 29 filings
SEC status approved since Jul 30, 2014
RAUM
$1.1B
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
67%
$735M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.1B as of Apr 3, 2026
Mar 12, 2015$104M then
HNW client RAUM$502M as of Apr 3, 2026
Mar 29, 2018$122M then
State-registered IARs (5.B.3)8 as of Apr 3, 2026
Mar 12, 20155 then
Employees (5.A)10 as of Apr 3, 2026
Mar 12, 20156 then
Private funds: no history
RAUM +30% over the last fiscal year+22% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Apr 3, 2026; every figure names its basis
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $549,027derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $185MreportedItem 5.I
- Custody
- $11.4M, 42 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$502M46%
- Pension and profit-sharing plans$301M28%
- Individuals$233M21%
- Corporations and businesses$50.1M4.6%
- Charitable organizations$4.0M0.4%
- Individual clients
- 801reported
- HNW clients
- 188reported
- Pension plan clients
- 106reported
- Charitable clients
- 4reported
- Accounts
- 1,987reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $11.4M for 42 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
8 left, 0 joined in 12 months
net -8 in 12 months7 left in 90 days0 joined in 90 days8 left over 36 months
Left, latest
- T••• E••••• D••••• to M••••• W••••• M••••••••• L••Aug 31, 2026 · RIA to RIA
- J••• A•••• P••••••• to L•• F•••••••• L••Aug 31, 2026 · RIA to RIA
- M•••• R• B•••••••• to M••••• W••••• M••••••••• L••Jul 31, 2026 · RIA to RIA
- C•••••• N••• R••••••••• to M••••• W••••• M••••••••• L••Jul 31, 2026 · RIA to RIA
- B•••••• E••••• S••••••• to M••••• W••••• M••••••••• L••Jul 31, 2026 · RIA to RIA
- S•••• K••••••••• to M••••• W••••• M••••••••• L••Jul 31, 2026 · RIA to RIA
- V•••••• C••••••• O••••• to M••••• W••••• M••••••••• L••Jul 31, 2026 · RIA to RIA
- R••• H•••••• to O••• A••••••• S•••••••Mar 17, 2026 · RIA to a state-registered adviser
- J••• D•••• C•••• to R•••••• J•••• • A••••••••• I•••Sep 12, 2023 · RIA to affiliated broker-dealer or bank
- J••••••• P•••••• M••• to L•• F•••••••• L••Jun 2, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- V•••••• C••••••• O••••• from K••••• A•••••••• I•••Aug 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••••• P•••••• M••• from M••••• S••••••Jul 30, 2021 · Wirehouse to independent RIA
- M•••• R• B•••••••• from B••• I••••••••• S•••••••• I•••Apr 26, 2016 · Other
- R••• H•••••• from B••• I••••••••• S•••••••• I•••Apr 22, 2016 · Other
- J••• A•••• P••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 7, 2015 · Other
- B•••••• E••••• S••••••• from L•• F•••••••• L••Aug 18, 2014 · Other
- S•••• K••••••••• from L•• F•••••••• L••Aug 18, 2014 · Other
- T••• E••••• D••••• from L•• F•••••••• L••Jul 30, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for M••••• W••••• M••••••••• L••Jul 31, 2026 · P•••Tation, Fl · Firm absorbed
- 2 joined from B••• I••••••••• S•••••••• I•••Apr 15, 2016 · Fort Lauderdale, Fl
- 2 joined from L•• F•••••••• L••Oct 30, 2015 · P•••Tation, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• T•••• E••••• · Manager, Ciocontrolsince 06/2014 · owns less than 5%
- D•••••• T•••• E••••• · Presidentcontrolsince 04/1997 · owns F of L••••• W••••• M••••••••• I•••
- D•••••• T•••• E••••• · Trusteecontrolsince 01/2016 · owns 75% or more of T••• E• D••••• D••••••••• T••••
- R••••••• I•• T•••••• G•••••• · Chief Compliance Officersince 06/2021 · owns less than 5%
Entity owners
- L••••• W••••• M••••••••• I••• · Memberdirect · owns 75% or more
- T••• E• D••••• D••••••••• T•••• · Shareholderindirect · owns 75% or more of L••••• W••••• M••••••••• I•••
Related persons
Schedule D 7.A
- L••••• W••••• M••••••••• I•••LP sponsory
- L••••• W••••• M••••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl | 0 | 0 | 1 | ||
| P•••Tation, Fl · principal | 0 | 0 | 7 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 8 to 0Mar 5, 2026 to Apr 3, 2026
- Insurance-licensed employees · 0 to 7Mar 5, 2026 to Apr 3, 2026
- Accounts · 1,881 to 1,987Mar 24, 2025 to Mar 5, 2026
- HNW clients · 197 to 188Mar 24, 2025 to Mar 5, 2026
- Individual clients · 856 to 801Mar 24, 2025 to Mar 5, 2026
- Pension plan clients · 97 to 106Mar 24, 2025 to Mar 5, 2026
- Assets in custody · $3.9M to $11.4MMar 24, 2025 to Mar 5, 2026
- Discretionary RAUM · $662M to $810MMar 24, 2025 to Mar 5, 2026
- HNW RAUM · $400M to $502MMar 24, 2025 to Mar 5, 2026
- Individual RAUM · $204M to $233MMar 24, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $176M to $281MMar 24, 2025 to Mar 5, 2026
- Pension RAUM · $187M to $301MMar 24, 2025 to Mar 5, 2026
- RAUM · $838M to $1.1BMar 24, 2025 to Mar 5, 2026
- Accounts · 1,778 to 1,881Mar 12, 2024 to Mar 24, 2025
- Corporate clients · 11 to 12Mar 12, 2024 to Mar 24, 2025
- HNW clients · 149 to 197Mar 12, 2024 to Mar 24, 2025
- Individual clients · 835 to 856Mar 12, 2024 to Mar 24, 2025
- Pension plan clients · 88 to 97Mar 12, 2024 to Mar 24, 2025
- Assets in custody · unset to 3880226.0Mar 12, 2024 to Mar 24, 2025
- Custody of client assets · false to trueMar 12, 2024 to Mar 24, 2025
- Employees · 9 to 10Mar 12, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Mar 24, 2025
- Other offices · 0 to 2Mar 12, 2024 to Mar 24, 2025
- Discretionary RAUM · $552M to $662MMar 12, 2024 to Mar 24, 2025
- HNW RAUM · $314M to $400MMar 12, 2024 to Mar 24, 2025
- Individual RAUM · $192M to $204MMar 12, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $143M to $176MMar 12, 2024 to Mar 24, 2025
- Pension RAUM · $152M to $187MMar 12, 2024 to Mar 24, 2025
- RAUM · $695M to $838MMar 12, 2024 to Mar 24, 2025
- Accounts · 1,755 to 1,778Mar 20, 2023 to Mar 12, 2024
- Individual clients · 808 to 835Mar 20, 2023 to Mar 12, 2024
- Discretionary RAUM · $503M to $552MMar 20, 2023 to Mar 12, 2024
- HNW RAUM · $287M to $314MMar 20, 2023 to Mar 12, 2024
- Individual RAUM · $174M to $192MMar 20, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $93.2M to $143MMar 20, 2023 to Mar 12, 2024
- Pension RAUM · $96.9M to $152MMar 20, 2023 to Mar 12, 2024
- RAUM · $597M to $695MMar 20, 2023 to Mar 12, 2024
- Accounts · 1,548 to 1,755Nov 4, 2022 to Mar 20, 2023
- Corporate clients · 9 to 11Nov 4, 2022 to Mar 20, 2023
- HNW clients · 158 to 149Nov 4, 2022 to Mar 20, 2023
Signals
14 dated events
- L•• A••••••• S•••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $1.1B)Sep 1, 2026 · Left the SEC roster · derived
- J••• A•••• P••••••• left L•• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2017-12-22)Aug 31, 2026 · Advisor changed firm · fact
- T••• E••••• D••••• left L•• A••••••• S•••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2026-03-27)Aug 31, 2026 · Advisor changed firm · fact
- B•••••• E••••• S••••••• left L•• A••••••• S•••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2026-03-24)Jul 31, 2026 · Advisor changed firm · fact
- S•••• K••••••••• left L•• A••••••• S•••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2026-03-24)Jul 31, 2026 · Advisor changed firm · fact
- V•••••• C••••••• O••••• left L•• A••••••• S•••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2026-03-24)Jul 31, 2026 · Advisor changed firm · fact
- M•••• R• B•••••••• left L•• A••••••• S•••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2026-03-24)Jul 31, 2026 · Advisor changed firm · fact
- C•••••• N••• R••••••••• left L•• A••••••• S•••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2026-03-24)Jul 31, 2026 · Advisor changed firm · fact
- L•• A••••••• S•••••••• L••'s advisors moved to M••••• W••••• M••••••••• L•• (Plantation, FL): 5 of 7 registered, on the same dayJul 31, 2026 · Firm absorbed (people side) · derived
- R••• H•••••• left L•• A••••••• S•••••••• L•• for O••• A••••••• S••••••• (registered 2026-04-10)Mar 17, 2026 · Advisor changed firm · fact
- L•• A••••••• S•••••••• L•• reported RAUM $1.1B, up 30% from $837.8M (2025-03-24 to 2026-03-05)Mar 5, 2026 · RAUM change · derived
- J••• D•••• C•••• left L•• A••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-09-13)Sep 12, 2023 · Advisor changed firm · fact
- J••••••• P•••••• M••• left L•• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-05-04)Jun 2, 2022 · Advisor changed firm · fact
- L•• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jul 11, 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.
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