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•••••• P•••••• C•••••• L••
Latest filing Mar 25, 2025
First filing on the tape Jun 4, 2020 · 8 filings
SEC status approved since Jul 1, 2020
RAUM
$247M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$247M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$247M as of Mar 25, 2025
Mar 31, 2021$170M then
HNW client RAUM$227M as of Mar 25, 2025
Mar 31, 2021$153M then
State-registered IARs (5.B.3)3 as of Mar 25, 2025
Mar 31, 20213 then
Employees (5.A)4 as of Mar 25, 2025
Mar 31, 20215 then
Private funds: no history
RAUM +12% over the last fiscal year+3.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2025; every figure names its basis
- RAUM per advisor
- $82.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $845,559derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$227M92%
- Individuals$20.0M8.1%
- Individual clients
- 66reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 292reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- M•••••• W•••••• M••••• to M•• C•••••• M••••••••• L••Nov 5, 2025 · RIA to RIA
- A••••• T••••• S•••• to M•• C•••••• M••••••••• L••Nov 5, 2025 · RIA to RIA
Joined, latest
- M•••••• W•••••• M••••• from G••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• W•••••• · Presidentcontrolsince 07/2019 · owns 50% to 75%
- S•••••• R••••••• B••••• · Chairpersoncontrolsince 04/2020 · owns 25% to 50%
- S•••••• D••••• M•••• · Chief Compliance Officersince 01/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Fort Myers, Fl · principal | 0 | 0 | 1 | ||
| Wayne, Pa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 289 to 292Mar 26, 2024 to Mar 25, 2025
- Charity clients · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- Corporate clients · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- HNW clients · 35 to 45Mar 26, 2024 to Mar 25, 2025
- Individual clients · 71 to 66Mar 26, 2024 to Mar 25, 2025
- Pension plan clients · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- Pooled vehicle clients · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $220M to $247MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $195M to $227MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $24.8M to $20.0MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- RAUM · $220M to $247MMar 26, 2024 to Mar 25, 2025
- Accounts · 288 to 289Sep 5, 2023 to Mar 26, 2024
- Advisory employees · 4 to 3Sep 5, 2023 to Mar 26, 2024
- HNW clients · 41 to 35Sep 5, 2023 to Mar 26, 2024
- Individual clients · 64 to 71Sep 5, 2023 to Mar 26, 2024
- Employees · 6 to 4Sep 5, 2023 to Mar 26, 2024
- Discretionary RAUM · $199M to $220MSep 5, 2023 to Mar 26, 2024
- HNW RAUM · $181M to $195MSep 5, 2023 to Mar 26, 2024
- Individual RAUM · $17.4M to $24.8MSep 5, 2023 to Mar 26, 2024
- RAUM · $199M to $220MSep 5, 2023 to Mar 26, 2024
- Accounts · 266 to 288Mar 28, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Mar 28, 2022 to Mar 28, 2023
- HNW clients · 39 to 41Mar 28, 2022 to Mar 28, 2023
- Individual clients · 61 to 64Mar 28, 2022 to Mar 28, 2023
- Employees · 5 to 6Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $226M to $199MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · $206M to $181MMar 28, 2022 to Mar 28, 2023
- Individual RAUM · $19.6M to $17.4MMar 28, 2022 to Mar 28, 2023
- RAUM · $226M to $199MMar 28, 2022 to Mar 28, 2023
- Accounts · 250 to 266Mar 31, 2021 to Mar 28, 2022
- HNW clients · 41 to 39Mar 31, 2021 to Mar 28, 2022
- Individual clients · 55 to 61Mar 31, 2021 to Mar 28, 2022
- Discretionary RAUM · $170M to $226MMar 31, 2021 to Mar 28, 2022
- HNW RAUM · $153M to $206MMar 31, 2021 to Mar 28, 2022
- Individual RAUM · $16.5M to $19.6MMar 31, 2021 to Mar 28, 2022
- RAUM · $170M to $226MMar 31, 2021 to Mar 28, 2022
- Accounts · 231 to 250Jun 19, 2020 to Mar 31, 2021
Signals
4 dated events
- L•••••• P•••••• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $246.9M)Dec 20, 2025 · Left the SEC roster · derived
- A••••• T••••• S•••• left L•••••• P•••••• C•••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-11-06)Nov 5, 2025 · Advisor changed firm · fact
- M•••••• W•••••• M••••• left L•••••• P•••••• C•••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-11-10)Nov 5, 2025 · Advisor changed firm · fact
- L•••••• P•••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 4, 2020 · 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