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R••• P•••••••• L••

Wealth manager with institutional or fund businessSEC-registeredwebsite

Wealth manager with institutional or fund business, reporting $182M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $182M
Advisors: 1
Private clients: 41%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 289840 · SEC 801-136147 · 1 filingShow

CRD 289840SEC 801-136147First filing on the tape Mar 31, 2026, latest Mar 31, 2026SEC status approved since Apr 30, 2026IAPD

RAUM

$182M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

41%

$75.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$182M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filing and snapshots on the tape

Filed figures over time · the tape starts Mar 31, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM: $182M

HNW client RAUM: $75.6M

State-registered IARs (5.B.3): 1

Employees (5.A): 1

Private funds: no history

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $182MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $15.1MderivedHNW RAUM over HNW clients
Average account: $13.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office 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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

59% other investment advisers, 41% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow

Other investment advisers$107M59%
High-net-worth individuals$75.6M41%

Individual clients: n/areported
HNW clients: 5reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 14reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
Class basis: RAUM: 41% private clients, 59% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
L••• A•••••• R••••• H••••••	Tucson, Az	Feb 20, 2024	19 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R••••• H••••••• L•••• A•••••• · Managing Member & Chief Compliance Officercontrol
since 06/2017 · 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

One filing, no change to show.

Signals

No event on the tape.

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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $182Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.