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•• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Phoenix, ArizonaCRD 283872SEC 801-108408websiteIAPD
Latest filing Mar 25, 2026
First filing on the tape Sep 9, 2016 · 14 filings
SEC status approved since Sep 22, 2016
RAUM
$14.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$14.9M as of Mar 25, 2026
Apr 3, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Apr 3, 20170 then
Employees (5.A)2 as of Mar 25, 2026
Apr 3, 20172 then
Private funds: no history
RAUM -1.9% over the last fiscal year+2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$14.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.9%derivedbetween 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 investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$14.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••• D••••• C•••••••• · Ccocontrol
        since 03/2017 · owns less than 5%
      • M•••••• T•• S••••• · Managing Membercontrol
        since 08/2016 · 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
      • Employees · 3 to 2
        Mar 14, 2025 to Mar 25, 2026
      • Discretionary RAUM · $15.2M to $14.9M
        Mar 14, 2025 to Mar 25, 2026
      • RAUM · $15.2M to $14.9M
        Mar 14, 2025 to Mar 25, 2026
      • Employees · 2 to 3
        Jul 9, 2024 to Mar 14, 2025
      • Financial planning clients · 1-10 to 1-10
        Jul 9, 2024 to Mar 14, 2025
      • Discretionary RAUM · $12.4M to $15.2M
        Jul 9, 2024 to Mar 14, 2025
      • RAUM · $12.4M to $15.2M
        Jul 9, 2024 to Mar 14, 2025
      • Discretionary RAUM · $14.0M to $12.4M
        Mar 1, 2023 to Apr 15, 2024
      • RAUM · $14.0M to $12.4M
        Mar 1, 2023 to Apr 15, 2024
      • Discretionary RAUM · $16.5M to $14.0M
        Feb 16, 2022 to Mar 1, 2023
      • RAUM · $16.5M to $14.0M
        Feb 16, 2022 to Mar 1, 2023
      • Discretionary RAUM · $24.6M to $16.5M
        Mar 3, 2021 to Feb 16, 2022
      • RAUM · $24.6M to $16.5M
        Mar 3, 2021 to Feb 16, 2022
      • Discretionary RAUM · $40.4M to $24.6M
        Mar 16, 2020 to Mar 3, 2021
      • RAUM · $40.4M to $24.6M
        Mar 16, 2020 to Mar 3, 2021
      • Discretionary RAUM · $49.6M to $40.4M
        Mar 27, 2019 to Mar 16, 2020
      • RAUM · $49.6M to $40.4M
        Mar 27, 2019 to Mar 16, 2020
      • Advisory employees · 2 to 1
        Feb 19, 2019 to Mar 27, 2019
      • Employees · 3 to 2
        Feb 19, 2019 to Mar 27, 2019
      • Discretionary RAUM · $49.5M to $49.6M
        Feb 19, 2019 to Mar 27, 2019
      • RAUM · $49.5M to $49.6M
        Feb 19, 2019 to Mar 27, 2019
      • Advisory employees · 1 to 2
        Mar 26, 2018 to Feb 19, 2019
      • Employees · 2 to 3
        Mar 26, 2018 to Feb 19, 2019
      • Financial planning clients · 0 to 1-10
        Mar 26, 2018 to Feb 19, 2019
      • Discretionary RAUM · $31.0M to $49.5M
        Mar 26, 2018 to Feb 19, 2019
      • RAUM · $31.0M to $49.5M
        Mar 26, 2018 to Feb 19, 2019
      • Accounts · 0 to 1
        Apr 3, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Apr 3, 2017 to Mar 26, 2018
      • Discretionary RAUM · $0 to $31.0M
        Apr 3, 2017 to Mar 26, 2018
      • RAUM · $0 to $31.0M
        Apr 3, 2017 to Mar 26, 2018
      • Employees · 1 to 2
        Jan 27, 2017 to Apr 3, 2017
      Signals
      1 dated events
      • L•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 9, 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.
      How to reach
      public business contact points only, each with its source
      Website
      w••.l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      480-737-5103reportedpublic record, Form ADV, Mar 25, 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
      Asset manager (funds and pooled vehicles)deriveda 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