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•••••••• F•••••• A••••••• G••••• L••
Latest filing Mar 12, 2026
First filing on the tape Jul 25, 2025 · 2 filings
SEC status approved since Aug 21, 2025
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$127M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$31.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$157M as of Mar 12, 2026
Jul 25, 2025$126M then
HNW client RAUM$104M as of Mar 12, 2026
Jul 25, 2025$85.9M then
State-registered IARs (5.B.3)5 as of Mar 12, 2026
Jul 25, 20255 then
Employees (5.A)5 as of Mar 12, 2026
Jul 25, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 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
- 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
- RAUM per advisor
- $31.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $428,484derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 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 assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $6.4M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M66%
- Corporations and businesses$26.5M17%
- Individuals$23.4M15%
- Pension and profit-sharing plans$3.2M2.1%
- Individual clients
- 117reported
- HNW clients
- 45reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 366reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.4M for 6 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• R•••••• F•••Chartered Financial Analyst | Boone, Nc | Jul 13, 2018 | 31 y | 3 |
| J••• R•••••• D•••• | Bradenton, Fl | Oct 15, 2018 | 41 y | 2 |
| T•••••• H••••••••• D•••• | Bradenton, Fl | Nov 16, 2018 | 10 y | 0 |
| K•••• H••••••••• D•••• | Huntersville, Nc | Jul 17, 2019 | 14 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
- T••••• R• T•••••• to C••••••• F•••••••• S•••••• C•••••••••Sep 7, 2023 · Other
- M••••• J••• B•••• to D•••••••• C•••••• M••••••••• L••Oct 6, 2021 · RIA to RIA
Joined, latest
- T••••• R• T•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••• R•••••• D•••• from N•• F••••••••• I•••Oct 15, 2018 · Other
- D•••• R•••••• F••• from T•• M••••••••• I••Jul 13, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J•••• R•••••• · Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- D••••• T••••••• H••••••••• · Chief Operations Officersince 11/2018 · owns less than 5%
Entity owners
- L•••••••• F•••••• G••••• L•• · 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 |
|---|---|---|---|---|---|
| Bradenton, Fl · principal | 5 | 0 | 0 | ||
| Huntersville, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 345 to 366Jul 25, 2025 to Mar 12, 2026
- Corporate clients · 18 to 21Jul 25, 2025 to Mar 12, 2026
- HNW clients · 41 to 45Jul 25, 2025 to Mar 12, 2026
- Individual clients · 112 to 117Jul 25, 2025 to Mar 12, 2026
- Pension plan clients · 5 to 6Jul 25, 2025 to Mar 12, 2026
- Assets in custody · $127M to $6.4MJul 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $125M to $157MJul 25, 2025 to Mar 12, 2026
- HNW RAUM · $85.9M to $104MJul 25, 2025 to Mar 12, 2026
- Individual RAUM · $20.4M to $23.4MJul 25, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $79,128 to $113,054Jul 25, 2025 to Mar 12, 2026
- Pension RAUM · $3.7M to $3.2MJul 25, 2025 to Mar 12, 2026
- RAUM · $126M to $157MJul 25, 2025 to Mar 12, 2026
Signals
1 dated events
- T••••• R• T•••••• left L•••••••• F•••••• A••••••• G••••• L•• for C••••••• F•••••••• S•••••• C••••••••• (registered 2023-09-07)Sep 7, 2023 · Advisor changed firm · fact
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
- 704-837-4145reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 941-914-9422reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/L••••••••-F••••••-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 941-914-9422reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- lifestylefreedom.com/our-teamreportedpublished 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
- $31.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026