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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
L•••••••• B•••••• P•••••• W••••• M•••••••••
Legal name L••••••••• B••••••• • D••••••• L••
Latest filing Mar 9, 2021
First filing on the tape May 25, 2018 · 11 filings
RAUM
$877M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
98%
$862M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$877M as of Mar 9, 2021
Mar 1, 2019$557M then
HNW client RAUM$678M as of Mar 9, 2021
Mar 1, 2019$420M then
State-registered IARs (5.B.3)8 as of Mar 9, 2021
Mar 1, 20198 then
Employees (5.A)14 as of Mar 9, 2021
Mar 1, 201912 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 8 to 8
Practice profile
derived from the filing of Mar 9, 2021; every figure names its basis
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $381,480derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $127M, 144 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$678M77%
- Individuals$184M21%
- Charitable organizations$11.7M1.3%
- Pension and profit-sharing plans$1.8M0.2%
- Corporations and businesses$1.5M0.2%
- Individual clients
- 394reported
- HNW clients
- 236reported
- Pension plan clients
- 14reported
- Charitable clients
- 5reported
- Accounts
- 2,300reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $127M for 144 clientsreported
- 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
- F•••• K•••• to H•••••••• A•••••••• L••Dec 31, 2021 · RIA to affiliated broker-dealer or bank
- D•••• A•• C••••• to H•••••••• A•••••••• L••Dec 31, 2021 · RIA to affiliated broker-dealer or bank
- M•••••• W•••••• L•••••••• to H•••••••• A•••••••• L••Dec 31, 2021 · RIA to affiliated broker-dealer or bank
- L•••• C••• B•••••• to H•••••••• A•••••••• L••Dec 31, 2021 · RIA to affiliated broker-dealer or bank
- A••••••• M•••• to H•••••••• A•••••••• L••Dec 31, 2021 · RIA to affiliated broker-dealer or bank
- F••• E••••• M•••••• to H•••••••• A•••••••• L••Dec 31, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- F•••• K•••• from W•••• F•••• A•••••••Aug 8, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• A•• C••••• from W•••• F•••• A•••••••Aug 8, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•••• C••• B•••••• from W•••• F•••• A•••••••Aug 8, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••• M•••• from W•••• F•••• A•••••••Aug 8, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- F••• E••••• M•••••• from W•••• F•••• A•••••••Aug 8, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• W•••••• L•••••••• from W•••• F•••• A•••••••Aug 6, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for H•••••••• A•••••••• L••Dec 31, 2021 · Punta Gorda, Fl · Firm absorbed
- 2 joined from W•••• F•••• A•••••••Nov 13, 2018 · Sarasota, Fl
- 4 joined from W•••• F•••• A•••••••Aug 28, 2018 · Punta Gorda, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• L••••• C••• · Managercontrolsince 06/2012 · owns less than 5%
- C•••••• D••••• A•• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- L••••••••• M••••••• W•••••• · Managercontrolsince 06/2012 · owns less than 5%
- B••••••• L••••• C••• · Membercontrolsince 06/2012 · owns 75% or more of L• B•••• L••
- D•••••••• A••••••• C•••••• · Membercontrolsince 06/2012 · owns 75% or more of A• D•••• L••
- L••••••••• M••••••• W•••••• · Membercontrolsince 06/2012 · owns 75% or more of M•• L•••• L••
Entity owners
- L• B•••• L•• · Memberdirect · owns 25% to 50%
- M•• L•••• L•• · Memberdirect · owns 50% to 75%
- A• D•••• L•• · Memberdirect · owns 10% to 25%
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
- Accounts · 2,127 to 2,300Jun 23, 2020 to Mar 9, 2021
- Charity clients · 6 to 5Jun 23, 2020 to Mar 9, 2021
- Corporate clients · 5 to 4Jun 23, 2020 to Mar 9, 2021
- HNW clients · 216 to 236Jun 23, 2020 to Mar 9, 2021
- Individual clients · 338 to 394Jun 23, 2020 to Mar 9, 2021
- Pension plan clients · 12 to 14Jun 23, 2020 to Mar 9, 2021
- Assets in custody · $459M to $127MJun 23, 2020 to Mar 9, 2021
- Employees · 12 to 14Jun 23, 2020 to Mar 9, 2021
- Discretionary RAUM · $530M to $760MJun 23, 2020 to Mar 9, 2021
- HNW RAUM · $573M to $678MJun 23, 2020 to Mar 9, 2021
- Individual RAUM · $130M to $184MJun 23, 2020 to Mar 9, 2021
- Non-discretionary RAUM · $184M to $117MJun 23, 2020 to Mar 9, 2021
- Pension RAUM · $738,042 to $1.8MJun 23, 2020 to Mar 9, 2021
- RAUM · $714M to $877MJun 23, 2020 to Mar 9, 2021
- Advisory activities · 4 to 3May 11, 2020 to Jun 23, 2020
- Accounts · 1,774 to 2,127Jun 13, 2019 to Mar 17, 2020
- Charity clients · unset to 6.0Jun 13, 2019 to Mar 17, 2020
- Corporate clients · 7 to 5Jun 13, 2019 to Mar 17, 2020
- HNW clients · 173 to 216Jun 13, 2019 to Mar 17, 2020
- Individual clients · 304 to 338Jun 13, 2019 to Mar 17, 2020
- Pension plan clients · unset to 12.0Jun 13, 2019 to Mar 17, 2020
- Pooled vehicle clients · unset to 0.0Jun 13, 2019 to Mar 17, 2020
- Assets in custody · $61.0M to $459MJun 13, 2019 to Mar 17, 2020
- Financial planning clients · 51-100 to 251-500Jun 13, 2019 to Mar 17, 2020
- Discretionary RAUM · $399M to $530MJun 13, 2019 to Mar 17, 2020
- HNW RAUM · $420M to $573MJun 13, 2019 to Mar 17, 2020
- Individual RAUM · $107M to $130MJun 13, 2019 to Mar 17, 2020
- Non-discretionary RAUM · $158M to $184MJun 13, 2019 to Mar 17, 2020
- Pension RAUM · $261,457 to $738,042Jun 13, 2019 to Mar 17, 2020
- RAUM · $557M to $714MJun 13, 2019 to Mar 17, 2020
- Accounts · 1,781 to 1,774Oct 23, 2018 to Mar 1, 2019
- Charity clients · 9.0 to unsetOct 23, 2018 to Mar 1, 2019
- Corporate clients · 17 to 7Oct 23, 2018 to Mar 1, 2019
- HNW clients · 194 to 173Oct 23, 2018 to Mar 1, 2019
- Individual clients · 300 to 304Oct 23, 2018 to Mar 1, 2019
- Pension plan clients · 25.0 to unsetOct 23, 2018 to Mar 1, 2019
- Assets in custody · $347M to $61.0MOct 23, 2018 to Mar 1, 2019
- Employees · 8 to 12Oct 23, 2018 to Mar 1, 2019
- Financial planning clients · 0 to 51-100Oct 23, 2018 to Mar 1, 2019
- Discretionary RAUM · $447M to $399MOct 23, 2018 to Mar 1, 2019
Signals
2 dated events
- L•••••••• B•••••• P•••••• W••••• M••••••••• reported RAUM $714.2M, up 28% from $556.8M (2019-06-13 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- L•••••••• B•••••• P•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 25, 2018 · 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