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•••• W••••• L••
Latest filing Mar 10, 2026
First filing on the tape Mar 23, 2021 · 17 filings
SEC status approved since Apr 21, 2021
RAUM
$640M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$640M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$640M as of Mar 10, 2026
Mar 11, 2022$373M then
HNW client RAUM$630M as of Mar 10, 2026
Mar 11, 2022$361M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Mar 11, 20223 then
Employees (5.A)5 as of Mar 10, 2026
Mar 11, 20224 then
Private funds: no history
RAUM +35% over the last fiscal year+24% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $786,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $422M, 127 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$630M98%
- Individuals$9.8M1.5%
- Individual clients
- 16reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 814reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $422M for 127 clientsreported
- Compensation
- fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• S•••••• A•••••• | Los Gatos, Ca | Jun 9, 2021 | 18 y | 4 |
| M••• F•••••• A•••••••Certified Financial Planner, Personal Financial Specialist | Los Gatos, Ca | Nov 2, 2021 | 14 y | 2 |
| S•••••• M••••••Certified Financial Planner | Erie, Co | Aug 12, 2025 | 12 y | 2 |
| K••••• L••• V•••••••Certified Financial Planner | Bayfield, Co | Sep 8, 2026 | 13 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- P••• J•••• D•••••• to M•• C•••••• M••••••••• L••Jun 2, 2025 · RIA to RIA
- G••• L••• C•••• to A••••• P••••• W••••• M••••••••• L••Aug 23, 2022 · RIA to RIA
Joined, latest
- K••••• L••• V••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 8, 2026 · Wirehouse to independent RIA
- S•••••• M•••••• from C••••••••• P•••••••• R••••• C•••Aug 12, 2025 · RIA to RIA
- P••• J•••• D•••••• from T•• H•••••• G••••• R••••••••• W••••• A•••••••• L••Feb 28, 2025 · RIA to RIA
- M••• F•••••• A••••••• from C••••••••• F•••••••• P••••••• • W••••• M•••••••••Nov 2, 2021 · RIA to RIA
- J•••••• S•••••• A•••••• from A•••• C•••••• M••••••••• L••Jun 9, 2021 · RIA to RIA
- G••• L••• C•••• from C••••••••• F•••••••• P••••••• • W••••• M•••••••••Mar 17, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• F•••••••• P••••••• • W••••• M•••••••••Dec 31, 2020 · Santa Cruz, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M•••• F•••••• · Principal And Chief Compliance Officercontrolsince 03/2017 · 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 |
|---|---|---|---|---|---|
| Los Gatos, Ca · principal | 4 | 1 | 0 | ||
| St Petersburg, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San F••••••Co, CA1 employees
- Santa Cruz, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 10, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-08-20, yes on the filing of 2026-03-10peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 679 to 814Aug 20, 2025 to Mar 10, 2026
- Advisory activities · 2 to 3Aug 20, 2025 to Mar 10, 2026
- HNW clients · 106 to 127Aug 20, 2025 to Mar 10, 2026
- Individual clients · 14 to 16Aug 20, 2025 to Mar 10, 2026
- Assets in custody · $344M to $422MAug 20, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 11-25Aug 20, 2025 to Mar 10, 2026
- Discretionary RAUM · $474M to $640MAug 20, 2025 to Mar 10, 2026
- HNW RAUM · $465M to $630MAug 20, 2025 to Mar 10, 2026
- Individual RAUM · $9.0M to $9.8MAug 20, 2025 to Mar 10, 2026
- RAUM · $474M to $640MAug 20, 2025 to Mar 10, 2026
- Accounts · 545 to 679Sep 4, 2024 to Mar 5, 2025
- Advisory employees · 3 to 4Sep 4, 2024 to Mar 5, 2025
- HNW clients · 99 to 106Sep 4, 2024 to Mar 5, 2025
- Individual clients · 13 to 14Sep 4, 2024 to Mar 5, 2025
- Assets in custody · $293M to $344MSep 4, 2024 to Mar 5, 2025
- Employees · 4 to 5Sep 4, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Sep 4, 2024 to Mar 5, 2025
- State-registered IARs · 3 to 4Sep 4, 2024 to Mar 5, 2025
- Other offices · 4 to 6Sep 4, 2024 to Mar 5, 2025
- Discretionary RAUM · $407M to $474MSep 4, 2024 to Mar 5, 2025
- HNW RAUM · $399M to $465MSep 4, 2024 to Mar 5, 2025
- Individual RAUM · $7.9M to $9.0MSep 4, 2024 to Mar 5, 2025
- RAUM · $407M to $474MSep 4, 2024 to Mar 5, 2025
- Accounts · 505 to 545Jan 12, 2024 to Mar 11, 2024
- Advisory employees · 2 to 3Jan 12, 2024 to Mar 11, 2024
- HNW clients · 92 to 99Jan 12, 2024 to Mar 11, 2024
- Individual clients · 22 to 13Jan 12, 2024 to Mar 11, 2024
- Assets in custody · $165M to $293MJan 12, 2024 to Mar 11, 2024
- Employees · 3 to 4Jan 12, 2024 to Mar 11, 2024
- State-registered IARs · 2 to 3Jan 12, 2024 to Mar 11, 2024
- Other offices · 3 to 4Jan 12, 2024 to Mar 11, 2024
- Discretionary RAUM · $339M to $407MJan 12, 2024 to Mar 11, 2024
- HNW RAUM · $325M to $399MJan 12, 2024 to Mar 11, 2024
- Individual RAUM · $14.0M to $7.9MJan 12, 2024 to Mar 11, 2024
- RAUM · $339M to $407MJan 12, 2024 to Mar 11, 2024
- Accounts · 470 to 505Jun 28, 2022 to Mar 20, 2023
- Advisory employees · 3 to 2Jun 28, 2022 to Mar 20, 2023
- HNW clients · 101 to 92Jun 28, 2022 to Mar 20, 2023
- Individual clients · 28 to 22Jun 28, 2022 to Mar 20, 2023
- Assets in custody · $370M to $165MJun 28, 2022 to Mar 20, 2023
Signals
5 dated events
- L•••• W••••• L•• reported RAUM $639.8M, up 35% from $473.7M (2025-08-20 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- P••• J•••• D•••••• left L•••• W••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-07-24)Jun 2, 2025 · Advisor changed firm · fact
- G••• L••• C•••• left L•••• W••••• L•• for A••••• P••••• W••••• M••••••••• L•• (registered 2025-12-03)Aug 23, 2022 · Advisor changed firm · fact
- L•••• W••••• L•• reported RAUM $373.3M, up 57% from $237.9M (2021-11-02 to 2022-03-11)Mar 11, 2022 · RAUM change · derived
- L•••• W••••• L•• filed its initial SEC registration (Form ADV)Mar 23, 2021 · 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 phone
- 408-721-1633reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-997-0750reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/librawealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (408) 721-1633reportedpublic record, Form ADV, Mar 10, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026