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.
SEC-registered adviser
L••••• W••••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Aug 17, 2021 · 10 filings
SEC status approved since Jan 26, 2022
RAUM
$51.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$51.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$25.5M
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
10 filings and snapshots on the tape
RAUM$51.0M as of Feb 17, 2026
Mar 30, 2022$50.1M then
HNW client RAUM$44.8M as of Feb 17, 2026
Mar 30, 2022$6.8M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Mar 30, 20221 then
Employees (5.A)1 as of Feb 17, 2026
Mar 30, 20221 then
Private funds: no history
RAUM +101% over the last fiscal year+2.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
- $25.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $973,977derivedHNW RAUM over HNW clients
- Average account
- $342,484derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +101%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +79%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$44.8M88%
- Individuals$6.2M12%
- Individual clients
- 29reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 149reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| O•••• D•••• F••••• D• V••••• | New York, Ny | May 7, 2021 | 21 y | 3 |
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
- O•••• D•••• F••••• D• V••••• from U••• A•••••••May 7, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• D• V•••••• O••••• D•••• · Managing Member/Ccocontrolsince 07/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 90 to 149Apr 1, 2025 to Feb 17, 2026
- HNW clients · 33 to 46Apr 1, 2025 to Feb 17, 2026
- Individual clients · 9 to 29Apr 1, 2025 to Feb 17, 2026
- Discretionary RAUM · $25.4M to $51.0MApr 1, 2025 to Feb 17, 2026
- HNW RAUM · $24.2M to $44.8MApr 1, 2025 to Feb 17, 2026
- Individual RAUM · $1.2M to $6.2MApr 1, 2025 to Feb 17, 2026
- RAUM · $25.4M to $51.0MApr 1, 2025 to Feb 17, 2026
- Accounts · 78 to 90Mar 30, 2024 to Apr 1, 2025
- HNW clients · 37 to 33Mar 30, 2024 to Apr 1, 2025
- Individual clients · 13 to 9Mar 30, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Mar 30, 2024 to Apr 1, 2025
- Discretionary RAUM · $14.7M to $25.4MMar 30, 2024 to Apr 1, 2025
- HNW RAUM · $13.8M to $24.2MMar 30, 2024 to Apr 1, 2025
- Individual RAUM · $2.5M to $1.2MMar 30, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $1.6M to $0Mar 30, 2024 to Apr 1, 2025
- RAUM · $16.4M to $25.4MMar 30, 2024 to Apr 1, 2025
- Accounts · 64 to 78May 18, 2023 to Mar 30, 2024
- Advisory activities · 3 to 2May 18, 2023 to Mar 30, 2024
- Charity clients · 0.0 to unsetMay 18, 2023 to Mar 30, 2024
- Corporate clients · 0.0 to unsetMay 18, 2023 to Mar 30, 2024
- HNW clients · 20 to 37May 18, 2023 to Mar 30, 2024
- Individual clients · 28 to 13May 18, 2023 to Mar 30, 2024
- Pension plan clients · 0.0 to unsetMay 18, 2023 to Mar 30, 2024
- Pooled vehicle clients · 0.0 to unsetMay 18, 2023 to Mar 30, 2024
- Discretionary RAUM · $13.1M to $14.7MMay 18, 2023 to Mar 30, 2024
- HNW RAUM · $45.4M to $13.8MMay 18, 2023 to Mar 30, 2024
- Individual RAUM · $2.3M to $2.5MMay 18, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $34.6M to $1.6MMay 18, 2023 to Mar 30, 2024
- RAUM · $47.7M to $16.4MMay 18, 2023 to Mar 30, 2024
- Advisory activities · 4 to 3Mar 31, 2023 to Apr 19, 2023
- HNW clients · 19 to 20Mar 31, 2023 to Apr 19, 2023
- HNW RAUM · $10.8M to $45.4MMar 31, 2023 to Apr 19, 2023
- Accounts · 41 to 64Mar 30, 2022 to Mar 31, 2023
- HNW clients · 9 to 19Mar 30, 2022 to Mar 31, 2023
- Individual clients · 16 to 28Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.6M to $13.1MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $6.8M to $10.8MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $4.4M to $2.3MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $44.5M to $34.6MMar 30, 2022 to Mar 31, 2023
- RAUM · $50.1M to $47.7MMar 30, 2022 to Mar 31, 2023
Signals
1 dated events
- L••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 17, 2021 · 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
- 212-697-3420reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-697-3420reportedpublic record, Form ADV, Feb 17, 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
- $25.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026