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••••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 288253SEC 801-110781IAPD
Latest filing Mar 26, 2019
First filing on the tape Jun 8, 2017 · 14 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
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$0 as of Mar 26, 2019
Jun 8, 2017$0 then
HNW client RAUM$127M as of Jan 2, 2019
Mar 9, 2018$127M then
State-registered IARs (5.B.3)1 as of Mar 26, 2019
Jun 8, 20174 then
Employees (5.A)7 as of Mar 26, 2019
Jun 8, 20177 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 businesses and institutions, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••••• A•••• · Membercontrol
    since 10/2017 · owns 5% to 10%
  • M••••• S••••••• L••••••• · Chief Operating Officer, Member, Ccocontrol
    since 05/2017 · owns 10% to 25%
  • P••••••• J••••• A•••••• · Managing Membercontrol
    since 05/2017 · owns 50% to 75%
  • B••••••••• D•••• · Member
    since 10/2017 · owns 10% to 25%
  • E••••• D•••••• A••• · Member
    since 10/2017 · owns 5% to 10%
  • G••••••• F•••• · Member
    since 10/2017 · owns less than 5%
  • K•••• T•••••• R•••••• · Member
    since 10/2017 · owns less than 5%
  • S•••••• P•••• · Member
    since 10/2017 · owns less than 5%
  • P••••• J••••••• R•••••• · Member
    since 10/2017 · owns 75% or more of S•• S••••• L••
Entity owners
  • S•• S••••• L•• · Member
    direct · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Scottsdale, Az · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 365 to 0
    Jan 2, 2019 to Feb 13, 2019
  • Advisory employees · 3 to 1
    Jan 2, 2019 to Feb 13, 2019
  • HNW clients · 37.0 to unset
    Jan 2, 2019 to Feb 13, 2019
  • Individual clients · 131.0 to unset
    Jan 2, 2019 to Feb 13, 2019
  • Pension plan clients · 24.0 to unset
    Jan 2, 2019 to Feb 13, 2019
  • Assets in custody · $53.8M to $0
    Jan 2, 2019 to Feb 13, 2019
  • Custody of client assets · true to false
    Jan 2, 2019 to Feb 13, 2019
  • State-registered IARs · 3 to 1
    Jan 2, 2019 to Feb 13, 2019
  • Discretionary RAUM · $275M to $0
    Jan 2, 2019 to Feb 13, 2019
  • HNW RAUM · 126646128.0 to unset
    Jan 2, 2019 to Feb 13, 2019
  • Individual RAUM · 39929851.0 to unset
    Jan 2, 2019 to Feb 13, 2019
  • Pension RAUM · 60037512.0 to unset
    Jan 2, 2019 to Feb 13, 2019
  • RAUM · $275M to $0
    Jan 2, 2019 to Feb 13, 2019
  • Related adviser · false to true
    Dec 14, 2018 to Jan 2, 2019
  • Assets in custody · unset to 53802642.0
    May 9, 2018 to Sep 25, 2018
  • Custody of client assets · false to true
    May 9, 2018 to Sep 25, 2018
  • Accounts · 651 to 365
    Nov 3, 2017 to Mar 9, 2018
  • HNW clients · unset to 37.0
    Nov 3, 2017 to Mar 9, 2018
  • Individual clients · unset to 131.0
    Nov 3, 2017 to Mar 9, 2018
  • Pension plan clients · unset to 24.0
    Nov 3, 2017 to Mar 9, 2018
  • Discretionary RAUM · $166M to $275M
    Nov 3, 2017 to Mar 9, 2018
  • HNW RAUM · unset to 126646128.0
    Nov 3, 2017 to Mar 9, 2018
  • Individual RAUM · unset to 39929851.0
    Nov 3, 2017 to Mar 9, 2018
  • Pension RAUM · unset to 60037512.0
    Nov 3, 2017 to Mar 9, 2018
  • RAUM · $166M to $275M
    Nov 3, 2017 to Mar 9, 2018
  • Accounts · 0 to 651
    Sep 29, 2017 to Nov 3, 2017
  • Advisory activities · 1 to 2
    Sep 29, 2017 to Nov 3, 2017
  • Other offices · unset to 0.0
    Sep 29, 2017 to Nov 3, 2017
  • Discretionary RAUM · $0 to $166M
    Sep 29, 2017 to Nov 3, 2017
  • RAUM · $0 to $166M
    Sep 29, 2017 to Nov 3, 2017
  • Advisory employees · 4 to 3
    Sep 28, 2017 to Sep 29, 2017
  • State-registered IARs · 4 to 3
    Sep 28, 2017 to Sep 29, 2017
Signals
6 dated events
  • J•••• A•••••• P•••••• left L••••••••• L•• for I••••••••• D••••• A•••••••• L•• (registered 2019-02-08)
    Dec 31, 2024 · Advisor changed firm · fact
  • 2 advisors left I••••••••• D••••• A•••••••• L•• (Carlsbad, CA) for L••••••••• L•• on the same day
    Sep 18, 2024 · Team lift-out · derived
  • C••••••••• P••••••• left L••••••••• L•• for M••••• O• O•••• I••••••• S•••••••• I••• (registered 2022-08-08)
    Jul 21, 2022 · Advisor changed firm · fact
  • L••••••••• L•• reported RAUM $0, down 100% from $274.9M (2019-01-02 to 2019-02-13)
    Feb 13, 2019 · RAUM change · derived
  • L••••••••• L•• reported RAUM $274.9M, up 66% from $165.6M (2017-11-03 to 2018-03-09)
    Mar 9, 2018 · RAUM change · derived
  • L••••••••• L•• filed its initial SEC registration (Form ADV)
    Jun 8, 2017 · 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