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•• O••• C•••••• A•••••••• L••
Latest filing Aug 21, 2026
First filing on the tape Feb 23, 2015 · 39 filings
SEC status approved since Jul 15, 2015
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
23%
$60.8M individuals and HNW
Advisors
2
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
7
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$267M as of Aug 21, 2026
Mar 30, 2016$131M then
HNW client RAUM$60.2M as of Aug 21, 2026
Mar 29, 2018$108M then
State-registered IARs (5.B.3)2 as of Aug 21, 2026
Mar 30, 20160 then
Employees (5.A)6 as of Aug 21, 2026
Mar 30, 20164 then
Private funds7 as of Aug 21, 2026
Mar 29, 20193 then
RAUM -31% over the last fiscal year-4.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $134MderivedRAUM 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
- $29.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Wrap fee program
- $60.8MreportedItem 5.I
- Custody
- $206M, 7 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$206M77%
- High-net-worth individuals$60.2M23%
- Individuals$622,1020.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $206M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.23 fund_share=0.77 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• N••••••• C••••• | F••• L•••••••••, Fl | Mar 20, 2017 | 31 y | 2 |
| P••• C••••• T••••• | F••• L•••••••••, Fl | Jun 10, 2017 | 42 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- G•••••• C••• D•••••• to L•• O••• C•••••• W••••• L••Sep 3, 2026 · RIA to a newly registered adviser
- K••••••• G•••• N••••• to I••••••••• W••••• M•••••••••Jan 7, 2025 · RIA to RIA
- S••••••• A•• S••••••• S••••••••• to D•••••• W••••• M••••••••• L••Jun 14, 2017 · Other
Joined, latest
- G•••••• C••• D•••••• from C•••••• F•••••••• G••••• L••Jun 19, 2026 · Other
- K••••••• G•••• N••••• from K••••• A••••••• S•••••••• L••Jan 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- P••• C••••• T••••• from U•• F•••••••• S••••••• I•••Jun 10, 2017 · Other
- R•••••• N••••••• C••••• from C•••••••• G••••• M•••••• I•••Mar 20, 2017 · Other
- S••••••• A•• S••••••• S••••••••• from U•• F•••••••• S••••••• I•••Aug 14, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• O••• C•••••• • G• G•••• F••• I• L•• | Venture Capital Fund | $89.0M | 48 | Oct 28, 2022 |
| L•• O••• C•••••• • R••• E••••• F••• I•• L• | Real Estate Fund | $69.5M | 66 | Mar 21, 2022 |
| L•• O••• C•••••• • R••• E••••• F••• I••• L•• | Real Estate Fund | $38.4M | 59 | Mar 21, 2022 |
| L•• O••• C•••••• • R••• E••••• F••• I•• L•• | Real Estate Fund | $19.8M | 31 | Sep 17, 2018 |
| L•• O••• C•••••• • R••• E••••• F••• V•• L•• | Real Estate Fund | $14.3M | 16 | Oct 28, 2022 |
| L•• O••• C•••••• • B••• C••••••••• L• | Real Estate Fund | $8.4M | 17 | Mar 21, 2022 |
| L•• O••• C•••••• • P••••••••• C••••••••• L• | Real Estate Fund | $4.4M | 8 | Oct 28, 2022 |
| L•• O••• C•••••• • W•••••• F••• I• L•• | Venture Capital Fund | $3.9M | 32 | Mar 29, 2019 |
| L•• O••• C•••••• • R••• E••••• F••• 1• L•• | Real Estate Fund | $158,878 | 20 | May 24, 2018 |
| L•• O••• C•••••• • G• G•••• F••• I•• L•• | Real Estate Fund | $100,000 | 1 | Oct 28, 2022 |
| L•• O••• C•••••• • R•• C•• F••• I• L•• | Venture Capital Fund | $0 | 0 | Mar 5, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• N••••••• · Chief Operating Officercontrolsince 02/2017 · owns less than 5%
- T•••••• P•••• C••••• · President, Cco, Ciocontrolsince 01/2017 · owns less than 5%
- J••••••• T•••••• J•••• P•••• · Managing Membercontrolsince 08/2015 · owns 50% to 75% of D•••• I••••••••• I•• L••
- T•••••• P•••• C••••• · Membercontrolsince 11/2020 · owns 25% to 50% of D•••• I••••••••• I•• L••
Entity owners
- D•••• I••••••••• I•• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- L•• O••• C•••••• • R••• E••••• F••• I• G•• L••pooled vehicle sponsorn
- L•• O••• C•••••• • R••• E••••• F••• V• G•• L••pooled vehicle sponsorn
- L•• O••• C•••••• •• G•••• F••• G• L••pooled vehicle sponsorn
- L•• O••• C•••••• P•••••••• L••broker-dealern
- P••• C• T•••••pooled vehicle sponsory
- R•• N• C•••••pooled vehicle sponsory
Advisers that list L•• O••• C•••••• A•••••••• L•• as a related person
- 299350 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| F••• L•••••••••, Fl · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 21, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-03-31, no on the filing of 2026-08-21peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $386,538,239 to $551,868,945 (+43.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 12.0% to 37.0% between the annual amendments of 2025-04-21 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 45 to 9Mar 31, 2026 to Aug 21, 2026
- Advisory employees · 7 to 4Mar 31, 2026 to Aug 21, 2026
- Advisory activities · 6 to 5Mar 31, 2026 to Aug 21, 2026
- HNW clients · 28.0 to unsetMar 31, 2026 to Aug 21, 2026
- Individual clients · 6.0 to unsetMar 31, 2026 to Aug 21, 2026
- Assets in custody · $241M to $206MMar 31, 2026 to Aug 21, 2026
- Employees · 8 to 6Mar 31, 2026 to Aug 21, 2026
- Insurance-licensed employees · 0 to 2Mar 31, 2026 to Aug 21, 2026
- State-registered IARs · 3 to 2Mar 31, 2026 to Aug 21, 2026
- Discretionary RAUM · $552M to $267MMar 31, 2026 to Aug 21, 2026
- HNW RAUM · $105M to $60.2MMar 31, 2026 to Aug 21, 2026
- Individual RAUM · $1.7M to $622,102Mar 31, 2026 to Aug 21, 2026
- Pooled vehicle RAUM · $241M to $206MMar 31, 2026 to Aug 21, 2026
- RAUM · $552M to $267MMar 31, 2026 to Aug 21, 2026
- Accounts · 43 to 45Feb 27, 2026 to Mar 31, 2026
- Advisory employees · 4 to 7Feb 27, 2026 to Mar 31, 2026
- Assets in custody · $243M to $241MFeb 27, 2026 to Mar 31, 2026
- Employees · 6 to 8Feb 27, 2026 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Feb 27, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 3Feb 27, 2026 to Mar 31, 2026
- Discretionary RAUM · $387M to $552MFeb 27, 2026 to Mar 31, 2026
- HNW RAUM · $97.0M to $105MFeb 27, 2026 to Mar 31, 2026
- Individual RAUM · $1.6M to $1.7MFeb 27, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $243M to $241MFeb 27, 2026 to Mar 31, 2026
- RAUM · $387M to $552MFeb 27, 2026 to Mar 31, 2026
- Related adviser · false to trueFeb 27, 2026 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Apr 21, 2025 to Jul 31, 2025
- Accounts · 33 to 43Mar 29, 2024 to Apr 21, 2025
- Advisory employees · 5 to 4Mar 29, 2024 to Apr 21, 2025
- HNW clients · 27 to 28Mar 29, 2024 to Apr 21, 2025
- Individual clients · 3 to 6Mar 29, 2024 to Apr 21, 2025
- Assets in custody · $231M to $243MMar 29, 2024 to Apr 21, 2025
- Employees · 7 to 6Mar 29, 2024 to Apr 21, 2025
- Financial planning clients · 0 to 1-10Mar 29, 2024 to Apr 21, 2025
- State-registered IARs · 3 to 2Mar 29, 2024 to Apr 21, 2025
- Discretionary RAUM · $374M to $387MMar 29, 2024 to Apr 21, 2025
- HNW RAUM · $89.6M to $97.0MMar 29, 2024 to Apr 21, 2025
- Individual RAUM · $1.1M to $1.6MMar 29, 2024 to Apr 21, 2025
- Pooled vehicle RAUM · $244M to $243MMar 29, 2024 to Apr 21, 2025
- RAUM · $374M to $387MMar 29, 2024 to Apr 21, 2025
Signals
8 dated events
- G•••••• C••• D•••••• left L•• O••• C•••••• A•••••••• L•• for L•• O••• C•••••• W••••• L•• (registered 2026-07-23)Sep 3, 2026 · Advisor changed firm · fact
- L•• O••• C•••••• A•••••••• L•• reported RAUM $267.2M, down 52% from $551.9M (2026-03-31 to 2026-08-21)Aug 21, 2026 · RAUM change · derived
- L•• O••• C•••••• A•••••••• L•• reported RAUM $551.9M, up 43% from $386.5M (2026-02-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- K••••••• G•••• N••••• left L•• O••• C•••••• A•••••••• L•• for I••••••••• W••••• M••••••••• (registered 2025-12-24)Jan 7, 2025 · Advisor changed firm · fact
- Vieson Julie Fanelli (Trustee) no longer on Schedule A of L•• O••• C•••••• A•••••••• L•• (listed 2020-06-23, absent 2020-12-18)Dec 18, 2020 · Control person left · inference
- Darian Johnson (Chief Executive Officer) no longer on Schedule A of L•• O••• C•••••• A•••••••• L•• (listed 2019-10-08, absent 2019-12-24)Dec 24, 2019 · Control person left · inference
- Jean Pamela Stross (Chief Financial Officer) no longer on Schedule A of L•• O••• C•••••• A•••••••• L•• (listed 2019-10-08, absent 2019-12-24)Dec 24, 2019 · Control person left · inference
- T••••••••• W••••• A••••••• •••• L••••••••• L•• filed its initial SEC registration (Form ADV)Feb 23, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•• O••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
- L•• O••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/10090892reportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954-289-4692reportedpublic record, Form ADV, Aug 21, 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
- Wealth manager with institutional or fund businessderiveda 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
Across the graphs
L•• O••• C•••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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