DFX Intelligence

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L••••• W••••• M••••••••• L••

No RAUM reportedSEC-registered· Babylon, New Yorkwebsite

No RAUM reported, based in Babylon, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-06-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-100.0%
RAUM, one year
RAUM $124M to $0 (-100.0%) on the Form ADV filed 3 Jun 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 173446 · SEC 801-109945 · 16 filingsShow

CRD 173446SEC 801-109945First filing on the tape Jan 27, 2017, latest Jun 3, 2026SEC status approved since Feb 9, 2017IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM -100% over the last fiscal year · the tape starts Jan 27, 2017

Peer group: Other advisers, under $100M, 660 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Jun 3, 2026

Mar 1, 2017$34.2M then

HNW client RAUM$116M as of Mar 3, 2025

Mar 7, 2018$30.9M then

State-registered IARs (5.B.3)1 as of Jun 3, 2026

Mar 1, 20171 then

Employees (5.A)2 as of Jun 3, 2026

Mar 1, 20173 then

Private funds: no history

RAUM -100% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Jun 3, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $0derivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -100%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: selection of other advisersreportedItem 5.G
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

compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Where they went: the top destinations among the 1 most recent departures on the tape

L•• F•••••••• L••1 advisor

Left, latest

R•••• A•••••• B•••••••• to L•• F•••••••• L••
Dec 31, 2019 · RIA to affiliated broker-dealer or bank

Joined, latest

R•••• A•••••• B•••••••• from L•• F•••••••• L••
Jun 22, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
R•••• A•••••• B••••••••	Babylon, Ny	Jun 22, 2021	30 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••••• R••••• A•••••• · Chief Compliance Officercontrol
since 09/2017 · owns less than 5%
L•••••• A••••• · Presidentcontrol
since 10/2014 · owns less than 5%
L•••••• A••••• · Ownercontrol
since 01/1991 · general partner, trustee or elected manager of L•••••• L••

Entity owners

L•••••• L•• · Owner
direct · owns 75% or more

Ownership changes

4 Schedule A changes between consecutive filings, latest first

Added L•••••• L•• · Owner control
filing of Mar 24, 2021, against Jun 30, 2020 · owns 75% or more · entity
Removed L•••••• A•••••• L••••• L•• · Owner control
filing of Mar 24, 2021, against Jun 30, 2020 · owns 75% or more · entity
Added R•••• B•••••••• A•••••• · Chief Compliance Officer control
filing of Mar 7, 2018, against Mar 1, 2017 · owns under 5%
Removed P••• A••••• · Director and Chief Compliance Officer control
filing of Mar 7, 2018, against Mar 1, 2017 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

L•••••• L••
insurancey

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 50 %Change between filings · filing Mar 23, 2026
RAUM (Item 5.F) moved from $123,580,063 to $0 (-100.0%) between the annual amendments of 2025-03-03 and 2026-03-23; the peer median change was -29.0% (39 comparable advisers, 0.0th percentile of changes)
peers: other advisers, under $100M (39) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 143 to 0
Mar 3, 2025 to Mar 23, 2026
Advisory activities · 2 to 1
Mar 3, 2025 to Mar 23, 2026
HNW clients · 23.0 to unset
Mar 3, 2025 to Mar 23, 2026
Individual clients · 15.0 to unset
Mar 3, 2025 to Mar 23, 2026
Assets in custody · 70356309.0 to unset
Mar 3, 2025 to Mar 23, 2026

Full history · 80 changes

Custody of client assets · true to false
Mar 3, 2025 to Mar 23, 2026
Financial planning clients · 1-10 to
Mar 3, 2025 to Mar 23, 2026
Discretionary RAUM · $124M to $0
Mar 3, 2025 to Mar 23, 2026
HNW RAUM · 116384325.0 to unset
Mar 3, 2025 to Mar 23, 2026
Individual RAUM · 7195738.0 to unset
Mar 3, 2025 to Mar 23, 2026
RAUM · $124M to $0
Mar 3, 2025 to Mar 23, 2026
Accounts · 136 to 143
Oct 28, 2024 to Mar 3, 2025
HNW clients · 25 to 23
Oct 28, 2024 to Mar 3, 2025
Assets in custody · $46.1M to $70.4M
Oct 28, 2024 to Mar 3, 2025
Financial planning clients · 1-10 to 1-10
Oct 28, 2024 to Mar 3, 2025
Discretionary RAUM · $123M to $124M
Oct 28, 2024 to Mar 3, 2025
HNW RAUM · $116M to $116M
Oct 28, 2024 to Mar 3, 2025
Individual RAUM · $6.3M to $7.2M
Oct 28, 2024 to Mar 3, 2025
RAUM · $123M to $124M
Oct 28, 2024 to Mar 3, 2025
Accounts · 116 to 136
Oct 30, 2023 to Mar 11, 2024
HNW clients · 21 to 25
Oct 30, 2023 to Mar 11, 2024
Discretionary RAUM · $89.9M to $123M
Oct 30, 2023 to Mar 11, 2024
HNW RAUM · $83.4M to $116M
Oct 30, 2023 to Mar 11, 2024
Individual RAUM · $6.5M to $6.3M
Oct 30, 2023 to Mar 11, 2024
RAUM · $89.9M to $123M
Oct 30, 2023 to Mar 11, 2024
Accounts · 96 to 116
Mar 7, 2022 to Mar 7, 2023
BD registered reps · 1 to 0
Mar 7, 2022 to Mar 7, 2023
HNW clients · 20 to 21
Mar 7, 2022 to Mar 7, 2023
Individual clients · 7 to 15
Mar 7, 2022 to Mar 7, 2023
Assets in custody · $28.7M to $46.1M
Mar 7, 2022 to Mar 7, 2023
Discretionary RAUM · $100M to $89.9M
Mar 7, 2022 to Mar 7, 2023
HNW RAUM · $96.5M to $83.4M
Mar 7, 2022 to Mar 7, 2023
Individual RAUM · $3.0M to $6.5M
Mar 7, 2022 to Mar 7, 2023
Pension RAUM · 728652.0 to unset
Mar 7, 2022 to Mar 7, 2023
RAUM · $100M to $89.9M
Mar 7, 2022 to Mar 7, 2023
Accounts · 79 to 96
Mar 24, 2021 to Mar 7, 2022
HNW clients · 13 to 20
Mar 24, 2021 to Mar 7, 2022
Individual clients · 10 to 7
Mar 24, 2021 to Mar 7, 2022
Assets in custody · $20.1M to $28.7M
Mar 24, 2021 to Mar 7, 2022
Financial planning clients · 0 to 1-10
Mar 24, 2021 to Mar 7, 2022
Discretionary RAUM · $73.7M to $100M
Mar 24, 2021 to Mar 7, 2022
HNW RAUM · $69.5M to $96.5M
Mar 24, 2021 to Mar 7, 2022
Individual RAUM · $4.2M to $3.0M
Mar 24, 2021 to Mar 7, 2022
Pension RAUM · unset to 728652.0
Mar 24, 2021 to Mar 7, 2022
RAUM · $73.7M to $100M
Mar 24, 2021 to Mar 7, 2022
Accounts · 85 to 79
Jun 30, 2020 to Mar 24, 2021
HNW clients · 9 to 13
Jun 30, 2020 to Mar 24, 2021
Individual clients · 14 to 10
Jun 30, 2020 to Mar 24, 2021
Assets in custody · $21.0M to $20.1M
Jun 30, 2020 to Mar 24, 2021
Discretionary RAUM · $59.0M to $73.7M
Jun 30, 2020 to Mar 24, 2021
HNW RAUM · $53.2M to $69.5M
Jun 30, 2020 to Mar 24, 2021
Individual RAUM · $5.8M to $4.2M
Jun 30, 2020 to Mar 24, 2021
RAUM · $59.0M to $73.7M
Jun 30, 2020 to Mar 24, 2021
Accounts · 70 to 85
Mar 29, 2019 to May 29, 2020
Business name · L••••• A••••• L••••• W••••• M••••••••• L•• to L••••• W••••• M••••••••• L••
Mar 29, 2019 to May 29, 2020
HNW clients · 15 to 9
Mar 29, 2019 to May 29, 2020
Individual clients · 7 to 14
Mar 29, 2019 to May 29, 2020
Assets in custody · $6.8M to $21.0M
Mar 29, 2019 to May 29, 2020
Employees · 1 to 2
Mar 29, 2019 to May 29, 2020
Financial planning clients · 1-10 to 0
Mar 29, 2019 to May 29, 2020
Legal name · L••••• A••••• L••••• W••••• M••••••••• L•• to L••••• W••••• M••••••••• L••
Mar 29, 2019 to May 29, 2020
Discretionary RAUM · $44.1M to $59.0M
Mar 29, 2019 to May 29, 2020
HNW RAUM · $37.8M to $53.2M
Mar 29, 2019 to May 29, 2020
Individual RAUM · $6.2M to $5.8M
Mar 29, 2019 to May 29, 2020
RAUM · $44.1M to $59.0M
Mar 29, 2019 to May 29, 2020
Accounts · 68 to 70
Apr 12, 2018 to Mar 29, 2019
HNW clients · 6 to 15
Apr 12, 2018 to Mar 29, 2019
Individual clients · 15 to 7
Apr 12, 2018 to Mar 29, 2019
Financial planning clients · 0 to 1-10
Apr 12, 2018 to Mar 29, 2019
Discretionary RAUM · $38.0M to $44.1M
Apr 12, 2018 to Mar 29, 2019
HNW RAUM · $30.9M to $37.8M
Apr 12, 2018 to Mar 29, 2019
Individual RAUM · $7.0M to $6.2M
Apr 12, 2018 to Mar 29, 2019
RAUM · $38.0M to $44.1M
Apr 12, 2018 to Mar 29, 2019
Assets in custody · unset to 6800000.0
Mar 7, 2018 to Apr 12, 2018
Custody of client assets · false to true
Mar 7, 2018 to Apr 12, 2018
Accounts · 62 to 68
Mar 1, 2017 to Mar 7, 2018
HNW clients · unset to 6.0
Mar 1, 2017 to Mar 7, 2018
Individual clients · unset to 15.0
Mar 1, 2017 to Mar 7, 2018
Employees · 3 to 1
Mar 1, 2017 to Mar 7, 2018
Financial planning clients · 1-10 to 0
Mar 1, 2017 to Mar 7, 2018

Signals

2 dated events

••• Locked
Mar 23, 2026 · RAUM change · derived
••• Locked
Jan 27, 2017 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1) · the addresses open with an account

1 earlier address on Form ADV filings, the earliest seen Apr 12, 2018

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Jun 3, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 3, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: regulatory AUM, private clients.