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••••• B••••• P•••••• F••••• O••••••
Legal name L••••• B•••••• L••
Latest filing Mar 18, 2026
First filing on the tape Dec 24, 2015 · 36 filings
SEC status approved since Jan 22, 2016
RAUM
$426M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$422M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$213M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$426M as of Mar 18, 2026
Mar 28, 2016$125M then
HNW client RAUM$411M as of Mar 18, 2026
Feb 9, 2018$172M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 28, 20161 then
Employees (5.A)8 as of Mar 18, 2026
Mar 28, 20163 then
Private funds: no history
RAUM +31% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $213MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.2MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +69%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $188M, 22 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
- High-net-worth individuals$411M96%
- Individuals$11.7M2.8%
- Charitable organizations$3.5M0.8%
- Individual clients
- 39reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 117reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $188M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• L• K••••• | West Des Moines, Ia | Feb 4, 2016 | 10 y | 0 |
| S•••••• B••• M•••••Chartered Financial Analyst | West Des Moines, Ia | Oct 12, 2023 | 16 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S••••••• M•••• · Ccocontrolsince 02/2024 · owns less than 5%
- K•••••• T••••••• L• · Chief Investment Officercontrolsince 10/2015 · owns less than 5%
- Z••••••• M••••••• T••••• · Ceocontrolsince 10/2015 · owns less than 5%
- Z••••••• M••••••• T••••• · Trusteecontrolsince 12/2017 · owns F of M•••••• T• Z•••••• R•••••••• T•••• D•• 1•••••••••
- Z••••••• M••••••• T••••• · Trusteecontrolsince 10/2018 · owns F of D••••• E•••••••• Z•••••• T••••
- Z••••••• M••••••• T••••• · Trusteecontrolsince 10/2018 · owns F of C•••••• L•••••• Z•••••• T••••
Entity owners
- C•••••• L•••••• Z•••••• T•••• · Ownerdirect · owns less than 5%
- D••••• E•••••••• Z•••••• T•••• · Ownerdirect · owns less than 5%
- M•••••• T• Z•••••• R•••••••• T•••• D•• 1••••••••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| West Des Moines, Ia · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY
- ,
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 18, 2026HNW RAUM per HNW client of $15,204,147 against a peer median of $2,404,040 (4940 comparable advisers, 100.0th percentile, 8.6 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 99 to 117Nov 24, 2025 to Mar 18, 2026
- Charity clients · unset to 1.0Nov 24, 2025 to Mar 18, 2026
- HNW clients · 23 to 27Nov 24, 2025 to Mar 18, 2026
- Individual clients · 16 to 39Nov 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $326M to $426MNov 24, 2025 to Mar 18, 2026
- HNW RAUM · $309M to $411MNov 24, 2025 to Mar 18, 2026
- Individual RAUM · $12.8M to $11.7MNov 24, 2025 to Mar 18, 2026
- RAUM · $326M to $426MNov 24, 2025 to Mar 18, 2026
- Accounts · 111 to 99Dec 26, 2024 to Mar 24, 2025
- HNW clients · 22 to 23Dec 26, 2024 to Mar 24, 2025
- Individual clients · 13 to 16Dec 26, 2024 to Mar 24, 2025
- Assets in custody · $247M to $188MDec 26, 2024 to Mar 24, 2025
- Financial planning clients · unset to Dec 26, 2024 to Mar 24, 2025
- Other offices · 2 to 0Dec 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $287M to $326MDec 26, 2024 to Mar 24, 2025
- HNW RAUM · $274M to $309MDec 26, 2024 to Mar 24, 2025
- Individual RAUM · $9.4M to $12.8MDec 26, 2024 to Mar 24, 2025
- RAUM · $287M to $326MDec 26, 2024 to Mar 24, 2025
- Accounts · 107 to 111Oct 25, 2023 to Jan 30, 2024
- Advisory employees · 2 to 3Oct 25, 2023 to Jan 30, 2024
- HNW clients · 23 to 22Oct 25, 2023 to Jan 30, 2024
- Individual clients · 12 to 13Oct 25, 2023 to Jan 30, 2024
- Assets in custody · $207M to $247MOct 25, 2023 to Jan 30, 2024
- Employees · 7 to 8Oct 25, 2023 to Jan 30, 2024
- Discretionary RAUM · $293M to $287MOct 25, 2023 to Jan 30, 2024
- HNW RAUM · $282M to $274MOct 25, 2023 to Jan 30, 2024
- Individual RAUM · $7.6M to $9.4MOct 25, 2023 to Jan 30, 2024
- RAUM · $293M to $287MOct 25, 2023 to Jan 30, 2024
- Accounts · 89 to 107Feb 28, 2022 to Feb 28, 2023
- Charity clients · 2.0 to unsetFeb 28, 2022 to Feb 28, 2023
- HNW clients · 21 to 23Feb 28, 2022 to Feb 28, 2023
- Individual clients · 10 to 12Feb 28, 2022 to Feb 28, 2023
- Assets in custody · $212M to $207MFeb 28, 2022 to Feb 28, 2023
- Other offices · 0 to 2Feb 28, 2022 to Feb 28, 2023
- Discretionary RAUM · $288M to $293MFeb 28, 2022 to Feb 28, 2023
- HNW RAUM · $275M to $282MFeb 28, 2022 to Feb 28, 2023
- Individual RAUM · $9.1M to $7.6MFeb 28, 2022 to Feb 28, 2023
- RAUM · $288M to $293MFeb 28, 2022 to Feb 28, 2023
- Accounts · 99 to 89Nov 2, 2021 to Feb 23, 2022
- Charity clients · unset to 2.0Nov 2, 2021 to Feb 23, 2022
Signals
7 dated events
- Marie Suzanne Stewart (Chief Compliance Officer) no longer on Schedule A of L••••• B••••• P•••••• F••••• O•••••• (listed 2024-01-30, absent 2024-02-21)Feb 21, 2024 · Control person left · inference
- Mario Suzanne Hammer (Cco) appeared on Schedule A of L••••• B••••• P•••••• F••••• O••••••Feb 21, 2024 · Control person joined · fact
- C•••••••• H••••••• (President) no longer on Schedule A of L••••• B••••• P•••••• F••••• O•••••• (listed 2021-03-31, absent 2021-10-27)Oct 27, 2021 · Control person left · inference
- C•••••••• H••••••• (President) appeared on Schedule A of L••••• B••••• P•••••• F••••• O••••••Mar 8, 2021 · Control person joined · fact
- Marie Suzanne Stewart (Chief Compliance Officer) appeared on Schedule A of L••••• B••••• P•••••• F••••• O••••••May 18, 2020 · Control person joined · fact
- Leo Joseph Burvee (Chief Compliance Officer) no longer on Schedule A of L••••• B••••• P•••••• F••••• O•••••• (listed 2020-05-18, absent 2020-05-18)May 18, 2020 · Control person left · inference
- L••••• B•••••• L•• filed its initial SEC registration (Form ADV)Dec 24, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••• B••••• P•••••• F••••• O•••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 515-421-4870reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L•••••B•••••PFO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515-421-4870reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- legacybridgepfo.com/contact-usreportedpublished 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
- $213Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026