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

M•••••••• L••

Former SEC-registered adviserMedford, OregonCRD 283205SEC 801-107712IAPD
Latest filing Mar 6, 2020
First filing on the tape Apr 13, 2016 · 7 filings
RAUM
$288,704
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$288,704 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$288,704 as of Mar 6, 2020
Mar 6, 2017$58,845 then
HNW client RAUM$0 as of Mar 6, 2020
Mar 19, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 6, 2020
Mar 6, 20173 then
Employees (5.A)3 as of Mar 6, 2020
Mar 6, 20173 then
Private funds: no history
RAUM -28% over the last fiscal year+70% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 2020; every figure names its basis
RAUM per advisor
$96,235derivedRAUM 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
$36,088derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-28%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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$288,704100%
Individual clients
8reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• G••••••• A••• · Managing Membercontrol
    since 04/2016 · owns 75% or more
  • M••••••••• J••••••• L• · Member
    since 04/2016 · owns 10% to 25%
  • M•••••• L••••• A••• · Member And Chief Compliance Officer
    since 04/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 12 to 8
    Feb 26, 2019 to Mar 6, 2020
  • Individual clients · 9 to 8
    Feb 26, 2019 to Mar 6, 2020
  • Assets in custody · 159094.0 to unset
    Feb 26, 2019 to Mar 6, 2020
  • Discretionary RAUM · $398,792 to $288,704
    Feb 26, 2019 to Mar 6, 2020
  • Individual RAUM · $398,792 to $288,704
    Feb 26, 2019 to Mar 6, 2020
  • RAUM · $398,792 to $288,704
    Feb 26, 2019 to Mar 6, 2020
  • Accounts · 6 to 12
    Sep 28, 2018 to Feb 26, 2019
  • Individual clients · 5 to 9
    Sep 28, 2018 to Feb 26, 2019
  • Assets in custody · unset to 159094.0
    Sep 28, 2018 to Feb 26, 2019
  • Discretionary RAUM · $85,264 to $398,792
    Sep 28, 2018 to Feb 26, 2019
  • Individual RAUM · $85,264 to $398,792
    Sep 28, 2018 to Feb 26, 2019
  • RAUM · $85,264 to $398,792
    Sep 28, 2018 to Feb 26, 2019
  • Accounts · 4 to 6
    Mar 6, 2017 to Mar 19, 2018
  • Individual clients · unset to 5.0
    Mar 6, 2017 to Mar 19, 2018
  • Other offices · unset to 0.0
    Mar 6, 2017 to Mar 19, 2018
  • Discretionary RAUM · $58,845 to $85,264
    Mar 6, 2017 to Mar 19, 2018
  • HNW RAUM · unset to 0.0
    Mar 6, 2017 to Mar 19, 2018
  • Individual RAUM · unset to 85264.0
    Mar 6, 2017 to Mar 19, 2018
  • Pension RAUM · unset to 0.0
    Mar 6, 2017 to Mar 19, 2018
  • RAUM · $58,845 to $85,264
    Mar 6, 2017 to Mar 19, 2018
  • Accounts · 0 to 4
    Apr 27, 2016 to Mar 6, 2017
  • Discretionary RAUM · $0 to $58,845
    Apr 27, 2016 to Mar 6, 2017
  • RAUM · $0 to $58,845
    Apr 27, 2016 to Mar 6, 2017
Signals
1 dated events
  • M•••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 13, 2016 · 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