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•••••• L••
Latest filing May 6, 2026
First filing on the tape Mar 1, 2017 · 14 filings
SEC status approved since May 30, 2023
RAUM
$174M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$86.9M
derived; firm RAUM over IAPD count
Employees
4
3 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$174M as of May 6, 2026
Mar 13, 2024$138M then
HNW client RAUM$169M as of May 6, 2026
Mar 13, 2024$135M then
State-registered IARs (5.B.3)3 as of May 6, 2026
Mar 13, 20243 then
Employees (5.A)4 as of May 6, 2026
Mar 13, 20245 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $86.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $739,946derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.0%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $22.8M, 16 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$169M97%
- Individuals$4.4M2.6%
- Individual clients
- 11reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 235reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.8M for 16 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• E•••••••• D••• | Boston, Ma | Mar 31, 2017 | 38 y | 1 |
| E•••••••• W••• D•••••• | Boston, Ma | Nov 21, 2017 | 19 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J•••••• G•••• G••••• to T•• F•••••••• M••••••••• I••May 6, 2026 · RIA to RIA
Joined, latest
- S•••• E•••••••• D••• from B••••• I••••••••• I•••••••• L••Mar 31, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• S••••• E•••••••• · Managing Member And Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- D•••• S••••• E•••••••• · Managing Membercontrolsince 03/2017 · owns 75% or more of T•• N•••• G••••• L••
Entity owners
- T•• N•••• G••••• L•• · Holding Companydirect · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bristol, RI3 employees
What changed
consecutive filings, newest first
- Accounts · 204 to 235May 7, 2025 to Mar 16, 2026
- HNW clients · 30 to 35May 7, 2025 to Mar 16, 2026
- Individual clients · 9 to 11May 7, 2025 to Mar 16, 2026
- Assets in custody · $9.3M to $22.8MMay 7, 2025 to Mar 16, 2026
- Other offices · 1 to 0May 7, 2025 to Mar 16, 2026
- Discretionary RAUM · $126M to $139MMay 7, 2025 to Mar 16, 2026
- HNW RAUM · $149M to $169MMay 7, 2025 to Mar 16, 2026
- Individual RAUM · $2.8M to $4.4MMay 7, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $25.5M to $35.1MMay 7, 2025 to Mar 16, 2026
- RAUM · $152M to $174MMay 7, 2025 to Mar 16, 2026
- Financial planning clients · 26-50 to 26-50Apr 29, 2025 to May 7, 2025
- Accounts · 200 to 204Feb 3, 2025 to Apr 29, 2025
- HNW clients · 26 to 30Feb 3, 2025 to Apr 29, 2025
- Assets in custody · $14.9M to $9.3MFeb 3, 2025 to Apr 29, 2025
- Employees · 5 to 4Feb 3, 2025 to Apr 29, 2025
- Discretionary RAUM · $110M to $126MFeb 3, 2025 to Apr 29, 2025
- HNW RAUM · $135M to $149MFeb 3, 2025 to Apr 29, 2025
- Individual RAUM · $2.5M to $2.8MFeb 3, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $27.9M to $25.5MFeb 3, 2025 to Apr 29, 2025
- RAUM · $138M to $152MFeb 3, 2025 to Apr 29, 2025
- Accounts · 161 to 200Apr 28, 2023 to Mar 13, 2024
- Advisory employees · 4 to 3Apr 28, 2023 to Mar 13, 2024
- HNW clients · 22 to 26Apr 28, 2023 to Mar 13, 2024
- Individual clients · 7 to 9Apr 28, 2023 to Mar 13, 2024
- Assets in custody · $29.1M to $14.9MApr 28, 2023 to Mar 13, 2024
- Financial planning clients · 11-25 to 26-50Apr 28, 2023 to Mar 13, 2024
- State-registered IARs · 4 to 3Apr 28, 2023 to Mar 13, 2024
- Discretionary RAUM · $97.7M to $110MApr 28, 2023 to Mar 13, 2024
- HNW RAUM · $121M to $135MApr 28, 2023 to Mar 13, 2024
- Individual RAUM · $1.2M to $2.5MApr 28, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $24.5M to $27.9MApr 28, 2023 to Mar 13, 2024
- RAUM · $122M to $138MApr 28, 2023 to Mar 13, 2024
- Accounts · 0 to 161Sep 5, 2017 to Apr 28, 2023
- Advisory employees · 1 to 4Sep 5, 2017 to Apr 28, 2023
- HNW clients · unset to 22.0Sep 5, 2017 to Apr 28, 2023
- Individual clients · unset to 7.0Sep 5, 2017 to Apr 28, 2023
- Assets in custody · unset to 29074750.0Sep 5, 2017 to Apr 28, 2023
- Custody of client assets · false to trueSep 5, 2017 to Apr 28, 2023
- Employees · 1 to 5Sep 5, 2017 to Apr 28, 2023
- Financial planning clients · 0 to 11-25Sep 5, 2017 to Apr 28, 2023
Signals
2 dated events
- J•••••• G•••• G••••• left L•••••• L•• for T•• F•••••••• M••••••••• I•• (registered 2026-05-11)May 6, 2026 · Advisor changed firm · fact
- L•••••• L•• filed its initial SEC registration (Form ADV)Apr 28, 2023 · 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
- Business email
- levatusl@levatuswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-505-4710reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/11277704reportedpublic record, Form ADV, Sep 18, 2026
- Website
- L••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 505-4710reportedpublic record, Form ADV, May 6, 2026
- Team page
- levatuswealth.com/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
- $86.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026