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••••• W••••• P••••••• I•••
Latest filing Mar 29, 2021
First filing on the tape Aug 31, 2016 · 14 filings
RAUM
$228M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 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$228M as of Mar 29, 2021
Mar 30, 2017$123M then
HNW client RAUM$109M as of Mar 29, 2021
Mar 12, 2018$95.5M then
State-registered IARs (5.B.3)2 as of Mar 29, 2021
Mar 30, 20172 then
Employees (5.A)4 as of Mar 29, 2021
Mar 30, 20175 then
Private funds: no history
RAUM +22% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $308,491derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $228MreportedItem 5.I
- Custody
- $2.1M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$109M48%
- Individuals$109M48%
- Pension and profit-sharing plans$9.7M4.3%
- Individual clients
- 187reported
- HNW clients
- 61reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 738reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $2.1M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- B•••••• A••••• L•••• to F•••• P••••••• W•••••• L••Oct 15, 2021 · RIA to RIA
- D•••• T••••• T•••• to F•••• P••••••• W•••••• L••Oct 15, 2021 · RIA to RIA
Joined, latest
- B•••••• A••••• L•••• from C••••••••• F•••••••• N••••••Nov 14, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• T••••• T•••• from C••••••••• F•••••••• N••••••Nov 14, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F•••• P••••••• W•••••• L••Oct 15, 2021 · Calabasas, Ca
- 2 joined from C••••••••• F•••••••• N••••••Nov 11, 2016 · Calabasas, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• B••••••• A••••• · Chief Executive Officer/Chief Compliance Officercontrolsince 11/2016 · 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
- Accounts · 646 to 738Jun 30, 2020 to Mar 29, 2021
- BD registered reps · 2 to 1Jun 30, 2020 to Mar 29, 2021
- HNW clients · 58 to 61Jun 30, 2020 to Mar 29, 2021
- Individual clients · 191 to 187Jun 30, 2020 to Mar 29, 2021
- Pension plan clients · 5 to 8Jun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $187M to $228MJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $92.4M to $109MJun 30, 2020 to Mar 29, 2021
- Individual RAUM · $90.6M to $109MJun 30, 2020 to Mar 29, 2021
- Pension RAUM · $4.2M to $9.7MJun 30, 2020 to Mar 29, 2021
- RAUM · $187M to $228MJun 30, 2020 to Mar 29, 2021
- Accounts · 635 to 646Mar 29, 2019 to Mar 23, 2020
- HNW clients · 59 to 58Mar 29, 2019 to Mar 23, 2020
- Individual clients · 177 to 191Mar 29, 2019 to Mar 23, 2020
- Assets in custody · $2.1M to $2.1MMar 29, 2019 to Mar 23, 2020
- Employees · 5 to 4Mar 29, 2019 to Mar 23, 2020
- Financial planning clients · 11-25 to 1-10Mar 29, 2019 to Mar 23, 2020
- HQ city · WOODLAND HILLS to CALABASASMar 29, 2019 to Mar 23, 2020
- Discretionary RAUM · $163M to $187MMar 29, 2019 to Mar 23, 2020
- HNW RAUM · $79.2M to $92.4MMar 29, 2019 to Mar 23, 2020
- Individual RAUM · $74.5M to $90.6MMar 29, 2019 to Mar 23, 2020
- Pension RAUM · $9.7M to $4.2MMar 29, 2019 to Mar 23, 2020
- RAUM · $163M to $187MMar 29, 2019 to Mar 23, 2020
- Accounts · 603 to 635Nov 16, 2018 to Mar 29, 2019
- Advisory activities · 3 to 4Nov 16, 2018 to Mar 29, 2019
- HNW clients · 83 to 59Nov 16, 2018 to Mar 29, 2019
- Individual clients · 145 to 177Nov 16, 2018 to Mar 29, 2019
- Assets in custody · $932,838 to $2.1MNov 16, 2018 to Mar 29, 2019
- Financial planning clients · 26-50 to 11-25Nov 16, 2018 to Mar 29, 2019
- Discretionary RAUM · $150M to $163MNov 16, 2018 to Mar 29, 2019
- HNW RAUM · $95.5M to $79.2MNov 16, 2018 to Mar 29, 2019
- Individual RAUM · $47.3M to $74.5MNov 16, 2018 to Mar 29, 2019
- Pension RAUM · $7.5M to $9.7MNov 16, 2018 to Mar 29, 2019
- RAUM · $150M to $163MNov 16, 2018 to Mar 29, 2019
- Accounts · 789 to 603Jun 26, 2017 to Mar 12, 2018
- HNW clients · unset to 83.0Jun 26, 2017 to Mar 12, 2018
- Individual clients · unset to 145.0Jun 26, 2017 to Mar 12, 2018
- Pension plan clients · unset to 5.0Jun 26, 2017 to Mar 12, 2018
- Assets in custody · unset to 932838.0Jun 26, 2017 to Mar 12, 2018
- Custody of client assets · false to trueJun 26, 2017 to Mar 12, 2018
- Financial planning clients · 0 to 26-50Jun 26, 2017 to Mar 12, 2018
Signals
1 dated events
- L••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 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