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••• A••••••• C••••

Former SEC-registered adviserNew York, New YorkCRD 299280SEC 801-114540IAPD
Latest filing Mar 16, 2023
First filing on the tape Dec 6, 2018 · 15 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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$0 as of Mar 16, 2023
Apr 2, 2020$15,091 then
HNW client RAUM$0 as of Mar 16, 2023
Feb 11, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 16, 2023
Apr 2, 20200 then
Employees (5.A)1 as of Mar 16, 2023
Apr 2, 20201 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2023; 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
1.0derivedItem 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
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••••••• M••••••• J••• · Chief Compliance Officercontrol
      since 01/2021 · owns less than 5%
    • R•••••• V•••••• M• · Ownercontrol
      since 12/2020 · owns 75% or more of F• G••••• I••
    Entity owners
    • F• G••••• I•• · Holding Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · unset to 0.0
      Mar 1, 2022 to Mar 16, 2023
    • Insurance-licensed employees · 0 to 1
      Mar 1, 2022 to Mar 16, 2023
    • Discretionary RAUM · unset to 0.0
      Mar 1, 2022 to Mar 16, 2023
    • Non-discretionary RAUM · unset to 0.0
      Mar 1, 2022 to Mar 16, 2023
    • RAUM · unset to 0.0
      Mar 1, 2022 to Mar 16, 2023
    • Wrap assets (manager) · unset to 0.0
      Mar 1, 2022 to Mar 16, 2023
    • Wrap assets (sponsor) · unset to 0.0
      Mar 1, 2022 to Mar 16, 2023
    • Business name · N••• A•••••• to L••• A••••••• C••••
      Jan 31, 2022 to Mar 1, 2022
    • Legal name · L••• A••••••Y CORP to L••• A••••••• C••••
      Jan 31, 2022 to Mar 1, 2022
    • Accounts · 0.0 to unset
      Nov 16, 2021 to Jan 31, 2022
    • Advisory employees · 0 to 1
      Nov 16, 2021 to Jan 31, 2022
    • BD registered reps · 0 to 1
      Nov 16, 2021 to Jan 31, 2022
    • State-registered IARs · 0 to 1
      Nov 16, 2021 to Jan 31, 2022
    • Discretionary RAUM · 0.0 to unset
      Nov 16, 2021 to Jan 31, 2022
    • Non-discretionary RAUM · 0.0 to unset
      Nov 16, 2021 to Jan 31, 2022
    • RAUM · 0.0 to unset
      Nov 16, 2021 to Jan 31, 2022
    • Legal name · W•••••••• I••• to L••• A••••••Y CORP
      Oct 27, 2021 to Oct 27, 2021
    • Accounts · 22 to 0
      Jan 20, 2021 to Feb 11, 2021
    • Charity clients · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • Corporate clients · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • HNW clients · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • Individual clients · 22 to 0
      Jan 20, 2021 to Feb 11, 2021
    • Pension plan clients · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • Pooled vehicle clients · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • Discretionary RAUM · $15,091 to $0
      Jan 20, 2021 to Feb 11, 2021
    • HNW RAUM · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • Individual RAUM · $15,091 to $0
      Jan 20, 2021 to Feb 11, 2021
    • Pension RAUM · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • Pooled vehicle RAUM · unset to 0.0
      Jan 20, 2021 to Feb 11, 2021
    • RAUM · $15,091 to $0
      Jan 20, 2021 to Feb 11, 2021
    • Accounts · 0 to 22
      Aug 29, 2019 to Apr 2, 2020
    • Advisory employees · 2 to 0
      Aug 29, 2019 to Apr 2, 2020
    • BD registered reps · 1 to 0
      Aug 29, 2019 to Apr 2, 2020
    • Individual clients · unset to 22.0
      Aug 29, 2019 to Apr 2, 2020
    • Employees · 2 to 1
      Aug 29, 2019 to Apr 2, 2020
    • Financial planning clients · unset to 0
      Aug 29, 2019 to Apr 2, 2020
    • State-registered IARs · 2 to 0
      Aug 29, 2019 to Apr 2, 2020
    • Discretionary RAUM · $0 to $15,091
      Aug 29, 2019 to Apr 2, 2020
    • Individual RAUM · unset to 15091.0
      Aug 29, 2019 to Apr 2, 2020
    • RAUM · $0 to $15,091
      Aug 29, 2019 to Apr 2, 2020
    Signals
    3 dated events
    • M•••••• K•••••• left L••• A••••••• C•••• for Lendingrobot (registered 2023-08-10)
      Jun 27, 2023 · a•••••• firm change · fact
    • John Michael Earlywine (Chief Compliance Officer) appeared on Schedule A of L••• A••••••• C••••
      Jan 20, 2021 · Control person joined · fact
    • W•••••••• I••• filed its initial SEC registration (Form ADV)
      Dec 6, 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