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
L••••• I••••••••• G••••• L••
Latest filing Mar 13, 2025
First filing on the tape Apr 20, 2016 · 18 filings
SEC status approved since Dec 7, 2018
RAUM
$367M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$357M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$367M as of Mar 13, 2025
Mar 5, 2019$125M then
HNW client RAUM$212M as of Mar 13, 2025
Mar 5, 2019$66.9M then
State-registered IARs (5.B.3)4 as of Mar 13, 2025
Mar 5, 20192 then
Employees (5.A)4 as of Mar 13, 2025
Mar 5, 20195 then
Private funds1 as of Mar 8, 2024
Mar 5, 20191 then
RAUM +21% over the last fiscal year+13% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 13, 2025; every figure names its basis
- RAUM per advisor
- $91.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $272,506derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$212M58%
- Individuals$146M40%
- Pooled investment vehicles$6.0M1.6%
- Charitable organizations$3.2M0.9%
- Individual clients
- 429reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 1,345reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- J•••••• R•••• B•••••• to D••••• W•••••• L••Dec 12, 2025 · RIA to RIA
- J•• C•••• M•••••••• to D••••• W•••••• L••Dec 12, 2025 · RIA to RIA
- C••••• M•• R•••• to D••••• W•••••• L••Dec 12, 2025 · RIA to RIA
- S••• D•••• M•••••••• to D••••• W•••••• L••Dec 12, 2025 · RIA to RIA
- E••• D• H••• to D••••• W•••••• L••Dec 12, 2025 · RIA to RIA
Joined, latest
- E••• D• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 30, 2023 · Wirehouse to independent RIA
- J•• C•••• M•••••••• from O•••• V••• A•••••••Jul 8, 2020 · RIA to RIA
- S••• D•••• M•••••••• from W•••• F•••• A•••••••May 22, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for D••••• W•••••• L••Dec 12, 2025 · Lewes, De · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•• O•• P••••••• F•••• L• | Hedge Fund | $6.1M | 39 | Nov 5, 2018 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• K•••••• F•••••• · Ownercontrolsince 10/2024 · owns 75% or more
- R••••• C•••••• M•• · Chief Compliance Officer, Managing Principalsince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- B•• O•• I••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lewes, De · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
- Annapolis, MD1 employees
What changed
consecutive filings, newest first
- Accounts · 1,231 to 1,345Nov 20, 2024 to Mar 13, 2025
- Advisory employees · 5 to 3Nov 20, 2024 to Mar 13, 2025
- Advisory activities · 4 to 3Nov 20, 2024 to Mar 13, 2025
- Charity clients · 1 to 4Nov 20, 2024 to Mar 13, 2025
- HNW clients · 85 to 98Nov 20, 2024 to Mar 13, 2025
- Individual clients · 406 to 429Nov 20, 2024 to Mar 13, 2025
- Employees · 5 to 4Nov 20, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 51-100Nov 20, 2024 to Mar 13, 2025
- State-registered IARs · 5 to 4Nov 20, 2024 to Mar 13, 2025
- Private funds · 1 to unsetNov 20, 2024 to Mar 13, 2025
- Discretionary RAUM · $302M to $367MNov 20, 2024 to Mar 13, 2025
- HNW RAUM · $174M to $212MNov 20, 2024 to Mar 13, 2025
- Individual RAUM · $118M to $146MNov 20, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $6.1M to $6.0MNov 20, 2024 to Mar 13, 2025
- RAUM · $302M to $367MNov 20, 2024 to Mar 13, 2025
- Advisory employees · 4 to 5Mar 8, 2024 to Nov 20, 2024
- Accounts · 1,096 to 1,231Feb 13, 2023 to Mar 8, 2024
- Advisory activities · 3 to 4Feb 13, 2023 to Mar 8, 2024
- Charity clients · 6 to 1Feb 13, 2023 to Mar 8, 2024
- HNW clients · 71 to 85Feb 13, 2023 to Mar 8, 2024
- Individual clients · 361 to 406Feb 13, 2023 to Mar 8, 2024
- Financial planning clients · 1-10 to 0Feb 13, 2023 to Mar 8, 2024
- Discretionary RAUM · $236M to $302MFeb 13, 2023 to Mar 8, 2024
- HNW RAUM · $130M to $174MFeb 13, 2023 to Mar 8, 2024
- Individual RAUM · $96.2M to $118MFeb 13, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $6.1M to $6.1MFeb 13, 2023 to Mar 8, 2024
- RAUM · $236M to $302MFeb 13, 2023 to Mar 8, 2024
- Accounts · 1,028 to 1,096Mar 11, 2022 to Feb 2, 2023
- Advisory employees · 5 to 4Mar 11, 2022 to Feb 2, 2023
- HNW clients · 75 to 71Mar 11, 2022 to Feb 2, 2023
- Individual clients · 322 to 361Mar 11, 2022 to Feb 2, 2023
- Employees · 6 to 5Mar 11, 2022 to Feb 2, 2023
- State-registered IARs · 6 to 5Mar 11, 2022 to Feb 2, 2023
- Discretionary RAUM · $254M to $236MMar 11, 2022 to Feb 2, 2023
- HNW RAUM · $147M to $130MMar 11, 2022 to Feb 2, 2023
- Individual RAUM · $95.9M to $96.2MMar 11, 2022 to Feb 2, 2023
- Pooled vehicle RAUM · $7.8M to $6.1MMar 11, 2022 to Feb 2, 2023
- RAUM · $254M to $236MMar 11, 2022 to Feb 2, 2023
- Accounts · 963 to 1,028Feb 18, 2021 to Mar 11, 2022
- Advisory employees · 3 to 5Feb 18, 2021 to Mar 11, 2022
Signals
10 dated events
- L••••• I••••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $366.5M)Jan 2, 2026 · Left the SEC roster · derived
- S••• D•••• M•••••••• left L••••• I••••••••• G••••• L•• for D••••• W•••••• L•• (registered 2025-11-03)Dec 12, 2025 · Advisor changed firm · fact
- E••• D• H••• left L••••• I••••••••• G••••• L•• for D••••• W•••••• L•• (registered 2025-11-03)Dec 12, 2025 · Advisor changed firm · fact
- J•••••• R•••• B•••••• left L••••• I••••••••• G••••• L•• for D••••• W•••••• L•• (registered 2025-11-03)Dec 12, 2025 · Advisor changed firm · fact
- J•• C•••• M•••••••• left L••••• I••••••••• G••••• L•• for D••••• W•••••• L•• (registered 2025-11-03)Dec 12, 2025 · Advisor changed firm · fact
- C••••• M•• R•••• left L••••• I••••••••• G••••• L•• for D••••• W•••••• L•• (registered 2025-11-03)Dec 12, 2025 · Advisor changed firm · fact
- L••••• I••••••••• G••••• L••'s advisors moved to D••••• W•••••• L•• (Lewes, DE): 5 of 5 registered, on the same dayDec 12, 2025 · Firm absorbed (people side) · derived
- Foraker Karlyn L••••• (Owner) appeared on Schedule A of L••••• I••••••••• G••••• L••Nov 20, 2024 · Control person joined · fact
- Lawrence Jonathan L••••• (Managing Principal) no longer on Schedule A of L••••• I••••••••• G••••• L•• (listed 2024-03-08, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- L••••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 20, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••• Investment Group LLC · Family Officesshared cik · office
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