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 Aug 6, 2026
First filing on the tape Dec 8, 2017 · 22 filings
SEC status approved since Dec 8, 2017
RAUM
$240M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
67%
$160M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$240M as of Aug 6, 2026
Mar 29, 2018$125M then
HNW client RAUM$131M as of Aug 6, 2026
Mar 29, 2018$62.7M then
State-registered IARs (5.B.3)3 as of Aug 6, 2026
Mar 29, 20183 then
Employees (5.A)3 as of Aug 6, 2026
Mar 29, 20184 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $80.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $403,757derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, 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
- Custody
- $26.8M, 47 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M54%
- Insurance companies$36.9M15%
- Individuals$29.3M12%
- Charitable organizations$27.1M11%
- Pension and profit-sharing plans$9.4M3.9%
- Corporations and businesses$7.0M2.9%
- Individual clients
- 113reported
- HNW clients
- 49reported
- Pension plan clients
- 1reported
- Charitable clients
- 8reported
- Accounts
- 595reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.8M for 47 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• F••••• D••••Certified Financial Planner | Wilmington, Nc | Mar 30, 2018 | 20 y | 2 |
| M••••••• H••••• K••••• | Wilmington, Nc | Mar 30, 2018 | 19 y | 2 |
| J••••• E••••• K••••••••• | Wilmington, Nc | Mar 20, 2026 | 12 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
- A••••• F••••• D•••• from A••••• • H••••• P•••••• C••••• G••••• L••Mar 30, 2018 · Other
- M••••••• H••••• K••••• from A••••• • H••••• P•••••• C••••• G••••• L••Mar 30, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••• • H••••• P•••••• C••••• G••••• L••Mar 28, 2018 · Wilmington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• A•••••• F••••• · Managing Membercontrolsince 04/2024 · owns 50% to 75%
- K•••••• M•••••••• H••••• · Chief Compliance Officercontrolsince 01/2024 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Wilmington, Nc · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 4 to 3Apr 13, 2026 to Aug 6, 2026
- Advisory employees · 2 to 3Mar 19, 2026 to Apr 13, 2026
- Employees · 3 to 4Mar 19, 2026 to Apr 13, 2026
- State-registered IARs · 2 to 3Mar 19, 2026 to Apr 13, 2026
- Accounts · 166 to 595May 1, 2025 to Mar 19, 2026
- Corporate clients · unset to 7.0May 1, 2025 to Mar 19, 2026
- HNW clients · 43 to 49May 1, 2025 to Mar 19, 2026
- Individual clients · 107 to 113May 1, 2025 to Mar 19, 2026
- Pension plan clients · unset to 1.0May 1, 2025 to Mar 19, 2026
- Assets in custody · unset to 26840104.0May 1, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMay 1, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 11-25May 1, 2025 to Mar 19, 2026
- Discretionary RAUM · $189M to $231MMay 1, 2025 to Mar 19, 2026
- HNW RAUM · $104M to $131MMay 1, 2025 to Mar 19, 2026
- Individual RAUM · $28.6M to $29.3MMay 1, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $7.9M to $9.4MMay 1, 2025 to Mar 19, 2026
- Pension RAUM · $7.9M to $9.4MMay 1, 2025 to Mar 19, 2026
- RAUM · $197M to $240MMay 1, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to May 1, 2025
- Accounts · 157 to 166Sep 25, 2024 to Mar 4, 2025
- Charity clients · 10 to 8Sep 25, 2024 to Mar 4, 2025
- HNW clients · 38 to 43Sep 25, 2024 to Mar 4, 2025
- Individual clients · 99 to 107Sep 25, 2024 to Mar 4, 2025
- Financial planning clients · 11-25 to 1-10Sep 25, 2024 to Mar 4, 2025
- Discretionary RAUM · $170M to $189MSep 25, 2024 to Mar 4, 2025
- HNW RAUM · $94.0M to $104MSep 25, 2024 to Mar 4, 2025
- Individual RAUM · $29.5M to $28.6MSep 25, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $7.0M to $7.9MSep 25, 2024 to Mar 4, 2025
- Pension RAUM · $7.0M to $7.9MSep 25, 2024 to Mar 4, 2025
- RAUM · $177M to $197MSep 25, 2024 to Mar 4, 2025
- Advisory employees · 3 to 2Mar 28, 2024 to Apr 2, 2024
- Employees · 4 to 3Mar 28, 2024 to Apr 2, 2024
- State-registered IARs · 3 to 2Mar 28, 2024 to Apr 2, 2024
- Accounts · 516 to 157Oct 24, 2023 to Mar 28, 2024
- Charity clients · 12 to 10Oct 24, 2023 to Mar 28, 2024
- Corporate clients · 6.0 to unsetOct 24, 2023 to Mar 28, 2024
- HNW clients · 30 to 38Oct 24, 2023 to Mar 28, 2024
- Individual clients · 103 to 99Oct 24, 2023 to Mar 28, 2024
- Employees · 3 to 4Oct 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $146M to $170MOct 24, 2023 to Mar 28, 2024
Signals
3 dated events
- George William Anlyan (Managing Member) no longer on Schedule A of L••••• W••••• M••••••••• L•• (listed 2024-03-28, absent 2024-04-02)Apr 2, 2024 · Control person left · inference
- L••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 8, 2017 · Succession (Item 4) · fact
- L••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 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.
How to reach
public business contact points only, each with its source
- Business phone
- 910-599-9409reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 910-794-7883reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- luminawm.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 910-599-9409reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- luminawm.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- luminawm.com/about-us/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
- $80.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026