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•• F••••••••
Legal name T•• L••• • G••••••••• G••••• I•••
Latest filing Jul 17, 2026
First filing on the tape Aug 13, 2019 · 16 filings
SEC status approved since Sep 12, 2019
RAUM
$564M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$557M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$282M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$564M as of Jul 17, 2026
Jan 10, 2020$406M then
HNW client RAUM$520M as of Jul 17, 2026
Jan 10, 2020$326M then
State-registered IARs (5.B.3)2 as of Jul 17, 2026
Jan 10, 20202 then
Employees (5.A)3 as of Jul 17, 2026
Jan 10, 20203 then
Private funds: no history
RAUM +7.4% over the last fiscal year+6.2% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Jul 17, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $282MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $629,337derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $564MreportedItem 5.I
- Custody
- $64.8M, 7 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$520M92%
- Individuals$36.6M6.5%
- Pension and profit-sharing plans$5.7M1.0%
- Charitable organizations$1.3M0.2%
- Individual clients
- 89reported
- HNW clients
- 152reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 896reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $38.4M sponsored, $0 managedreported
- Custody of client assets
- $64.8M for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C•••• L••• | Bethesda, Md | Oct 1, 2019 | 29 y | 5 |
| D•••• M•••••• G••••••••• | Bethesda, Md | Oct 31, 2019 | 28 y | 5 |
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
- D•••• M•••••• G••••••••• from W•••• F•••• A•••••••Oct 31, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• C•••• L••• from W•••• F•••• A•••••••Oct 1, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• D••••• M•••••• · Partner And Chief Compliance Officercontrolsince 08/2019 · owns 50% to 75%
- L•••• B••••• C•••• · Partnercontrolsince 08/2019 · 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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Jan 23, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $525,238,986 to $563,886,399, advisors 2 to 2, private clients 302 to 241, offices 1 to 1 (2025-02-27 to 2026-01-23)peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Other offices · 1 to 2Jan 23, 2026 to Jul 17, 2026
- Accounts · 827 to 896Sep 29, 2025 to Jan 23, 2026
- Corporate clients · 6.0 to unsetSep 29, 2025 to Jan 23, 2026
- HNW clients · 141 to 152Sep 29, 2025 to Jan 23, 2026
- Individual clients · 161 to 89Sep 29, 2025 to Jan 23, 2026
- Pension plan clients · 6 to 9Sep 29, 2025 to Jan 23, 2026
- Assets in custody · $4.3M to $64.8MSep 29, 2025 to Jan 23, 2026
- Discretionary RAUM · $515M to $564MSep 29, 2025 to Jan 23, 2026
- HNW RAUM · $473M to $520MSep 29, 2025 to Jan 23, 2026
- Individual RAUM · $47.4M to $36.6MSep 29, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $9.9M to $0Sep 29, 2025 to Jan 23, 2026
- Pension RAUM · $3.1M to $5.7MSep 29, 2025 to Jan 23, 2026
- RAUM · $525M to $564MSep 29, 2025 to Jan 23, 2026
- Wrap assets (sponsor) · $39.8M to $38.4MSep 29, 2025 to Jan 23, 2026
- Accounts · 759 to 827Feb 22, 2024 to Feb 27, 2025
- Corporate clients · unset to 6.0Feb 22, 2024 to Feb 27, 2025
- HNW clients · 137 to 141Feb 22, 2024 to Feb 27, 2025
- Individual clients · 155 to 161Feb 22, 2024 to Feb 27, 2025
- Pension plan clients · unset to 6.0Feb 22, 2024 to Feb 27, 2025
- Assets in custody · $23.2M to $4.3MFeb 22, 2024 to Feb 27, 2025
- Financial planning clients · 101-250 to 101-250Feb 22, 2024 to Feb 27, 2025
- Discretionary RAUM · $483M to $515MFeb 22, 2024 to Feb 27, 2025
- HNW RAUM · $438M to $473MFeb 22, 2024 to Feb 27, 2025
- Individual RAUM · $51.9M to $47.4MFeb 22, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $9.4M to $9.9MFeb 22, 2024 to Feb 27, 2025
- Pension RAUM · $2.8M to $3.1MFeb 22, 2024 to Feb 27, 2025
- RAUM · $493M to $525MFeb 22, 2024 to Feb 27, 2025
- Wrap assets (sponsor) · $0 to $39.8MFeb 22, 2024 to Feb 27, 2025
- Other offices · 0 to 1Jan 26, 2024 to Feb 22, 2024
- Accounts · 709 to 759Feb 21, 2023 to Jan 26, 2024
- HNW clients · 101 to 137Feb 21, 2023 to Jan 26, 2024
- Individual clients · 129 to 155Feb 21, 2023 to Jan 26, 2024
- Discretionary RAUM · $471M to $483MFeb 21, 2023 to Jan 26, 2024
- HNW RAUM · $423M to $438MFeb 21, 2023 to Jan 26, 2024
- Individual RAUM · $46.8M to $51.9MFeb 21, 2023 to Jan 26, 2024
- Non-discretionary RAUM · $0 to $9.4MFeb 21, 2023 to Jan 26, 2024
- Pension RAUM · $895,020 to $2.8MFeb 21, 2023 to Jan 26, 2024
- RAUM · $471M to $493MFeb 21, 2023 to Jan 26, 2024
- Accounts · 728 to 709Mar 22, 2022 to Feb 21, 2023
- Advisory activities · 3 to 4Mar 22, 2022 to Feb 21, 2023
Signals
1 dated events
- L•• F•••••••• filed its initial SEC registration (Form ADV)Aug 13, 2019 · 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 email
- h••••@l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 301-312-6660reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 301-312-6660reportedpublic record, Form ADV, Jul 17, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $282Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026