DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

L•••• A•••• M••••••••• L•••••• L•••••••• C••••••

Independent wealth managerCRD 277030SEC 801-135594websiteIAPD
Latest filing Sep 9, 2026
First filing on the tape Feb 17, 2026 · 4 filings
SEC status approved since Mar 20, 2026
RAUM
$121M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$121M as of Jul 24, 2026
Feb 17, 2026$121M then
HNW client RAUM$83.5M as of Jul 24, 2026
Feb 17, 2026$83.5M then
State-registered IARs (5.B.3)1 as of Jul 24, 2026
Feb 17, 20261 then
Employees (5.A)1 as of Jul 24, 2026
Feb 17, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
116derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$160,248derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$121MreportedItem 5.I
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$83.5M69%
  • Individuals$36.9M31%
  • Charitable organizations$185,9860.2%
Individual clients
87reported
HNW clients
29reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
752reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• S••••••• P•••••••••Chartered Financial AnalystNashville, TnAug 27, 201519 y2
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••••• R••••• S••••••• · President/Chief Compliance Officercontrol
      since 06/2015 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · to unset
      Jul 24, 2026 to Sep 9, 2026
    • HQ city · to unset
      Jul 24, 2026 to Sep 9, 2026
    • HQ state · to unset
      Jul 24, 2026 to Sep 9, 2026
    • Related adviser · false to unset
      Jul 24, 2026 to Sep 9, 2026
    • Related bank · false to unset
      Jul 24, 2026 to Sep 9, 2026
    • Related broker-dealer · false to unset
      Jul 24, 2026 to Sep 9, 2026
    • Related insurance company · false to unset
      Jul 24, 2026 to Sep 9, 2026
    • Succession · false to unset
      Jul 24, 2026 to Sep 9, 2026
    Signals
    No event on the tape.
    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 phone
    315-925-6887reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    l••••••.comreportedpublic record, Form ADV, Sep 9, 2026
    Principal office phone
    315-925-6887reportedpublic record, Form ADV, Sep 9, 2026
    Contact form
    l••••••.comreportedpublished by the firm, firm site, Sep 16, 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
    $121Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026