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••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape May 15, 2017 · 27 filings
SEC status approved since May 24, 2017
RAUM
$230M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$221M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$230M as of Mar 11, 2026
Mar 29, 2018$91.4M then
HNW client RAUM$199M as of Mar 11, 2026
Mar 29, 2018$59.4M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Mar 29, 20180 then
Employees (5.A)4 as of Mar 11, 2026
Mar 29, 20182 then
Private funds: no history
RAUM +13% over the last fiscal year+25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 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
- RAUM per advisor
- $57.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$199M87%
- Individuals$21.3M9.3%
- Pension and profit-sharing plans$6.7M2.9%
- Charitable organizations$2.6M1.1%
- Individual clients
- 62reported
- HNW clients
- 41reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 122reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| S•••• D•••• L••••Certified Financial Planner | New York, Ny | Feb 5, 2019 | 30 y | 2 |
| M•••• T•••••• | New York, Ny | Aug 27, 2021 | 16 y | 0 |
| M•••••• B••••••••Certified Financial Planner | New York, Ny | Sep 11, 2023 | 10 y | 0 |
| J•••• Z••••••••• | New York, Ny | Sep 3, 2025 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••• D•••• L•••• from W••••••••• C•••••• S••••••••• L••Feb 5, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• S••••• D•••• · Managing Member And Chief Compliance Officercontrolsince 04/2017 · owns 75% or more
- J•••••• J••••••• M• · Membersince 01/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 11, 2026accounts (Item 5.F.2.f) moved from 382.0 to 122.0 (-68.0%) between the annual amendments of 2025-02-28 and 2026-03-11; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.1% percentile
What changed
consecutive filings, newest first
- Accounts · 382 to 122Dec 11, 2025 to Mar 11, 2026
- HNW clients · 33 to 41Dec 11, 2025 to Mar 11, 2026
- Discretionary RAUM · $190M to $211MDec 11, 2025 to Mar 11, 2026
- HNW RAUM · $178M to $199MDec 11, 2025 to Mar 11, 2026
- Individual RAUM · $18.5M to $21.3MDec 11, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $14.0M to $19.2MDec 11, 2025 to Mar 11, 2026
- Pension RAUM · $5.4M to $6.7MDec 11, 2025 to Mar 11, 2026
- RAUM · $204M to $230MDec 11, 2025 to Mar 11, 2026
- Accounts · 340 to 382May 28, 2024 to Feb 28, 2025
- Advisory employees · 3 to 4May 28, 2024 to Feb 28, 2025
- HNW clients · 29 to 33May 28, 2024 to Feb 28, 2025
- Individual clients · 52 to 62May 28, 2024 to Feb 28, 2025
- Employees · 3 to 4May 28, 2024 to Feb 28, 2025
- Financial planning clients · 51-100 to 51-100May 28, 2024 to Feb 28, 2025
- State-registered IARs · 3 to 4May 28, 2024 to Feb 28, 2025
- Discretionary RAUM · $128M to $190MMay 28, 2024 to Feb 28, 2025
- HNW RAUM · $118M to $178MMay 28, 2024 to Feb 28, 2025
- Individual RAUM · $15.3M to $18.5MMay 28, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $11.3M to $14.0MMay 28, 2024 to Feb 28, 2025
- Pension RAUM · $4.3M to $5.4MMay 28, 2024 to Feb 28, 2025
- RAUM · $140M to $204MMay 28, 2024 to Feb 28, 2025
- Accounts · 320 to 340Mar 17, 2023 to Feb 6, 2024
- Advisory employees · 2 to 3Mar 17, 2023 to Feb 6, 2024
- Advisory activities · 5 to 6Mar 17, 2023 to Feb 6, 2024
- Charity clients · unset to 1.0Mar 17, 2023 to Feb 6, 2024
- HNW clients · 30 to 29Mar 17, 2023 to Feb 6, 2024
- Individual clients · 45 to 52Mar 17, 2023 to Feb 6, 2024
- Pension plan clients · unset to 3.0Mar 17, 2023 to Feb 6, 2024
- Employees · 2 to 3Mar 17, 2023 to Feb 6, 2024
- State-registered IARs · 2 to 3Mar 17, 2023 to Feb 6, 2024
- Discretionary RAUM · $109M to $128MMar 17, 2023 to Feb 6, 2024
- HNW RAUM · $102M to $118MMar 17, 2023 to Feb 6, 2024
- Individual RAUM · $12.7M to $15.3MMar 17, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $10.5M to $11.3MMar 17, 2023 to Feb 6, 2024
- Pension RAUM · $3.2M to $4.3MMar 17, 2023 to Feb 6, 2024
- RAUM · $119M to $140MMar 17, 2023 to Feb 6, 2024
- Accounts · 252 to 320Oct 20, 2022 to Jan 31, 2023
- Discretionary RAUM · $120M to $109MOct 20, 2022 to Jan 31, 2023
- HNW RAUM · $112M to $102MOct 20, 2022 to Jan 31, 2023
- Individual RAUM · $10.9M to $12.7MOct 20, 2022 to Jan 31, 2023
Signals
1 dated events
- L•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 15, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••••••• W••••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 212-967-5466reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/11242736/admin/updatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-967-5466reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- LIONSHEADWEALTH.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- LIONSHEADWEALTH.COM/our-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
- $57.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026