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••• W••••• M••••••••• G••••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 305766SEC 801-117756IAPD
Legal name L••• W••••• M••••••••• G••••• L••
Latest filing May 2, 2024
First filing on the tape Nov 7, 2019 · 16 filings
RAUM
$943M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$734M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$943M as of Mar 26, 2024
Mar 27, 2020$390M then
HNW client RAUM$675M as of Mar 26, 2024
Mar 27, 2020$309M then
State-registered IARs (5.B.3)7 as of Mar 26, 2024
Mar 27, 20205 then
Employees (5.A)14 as of Mar 26, 2024
Mar 27, 202011 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 8 to 7
Practice profile
derived from the filing of May 2, 2024; every figure names its basis
RAUM per advisor
$135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
95derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$802,910derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
-30%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$913MreportedItem 5.I
Custody
$103M, 33 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
  • 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$675M72%
  • Corporations and businesses$119M13%
  • Pension and profit-sharing plans$80.9M8.6%
  • Individuals$59.4M6.3%
  • Charitable organizations$9.7M1.0%
Individual clients
244reported
HNW clients
422reported
Pension plan clients
59reported
Charitable clients
10reported
Accounts
1,175reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$103M for 33 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••••• M••••••• T••••• · Chief Operations Officercontrol
    since 01/2013 · owns less than 5%
  • L•••• V•••••• S••••• · Chief Executive Officer/Chief Compliance Officercontrol
    since 01/2013 · owns less than 5%
  • R••••••••• J•••••• N•• · Membercontrol
    since 01/2023 · owns less than 5%
  • L•••• V•••••• S••••• · Managercontrol
    since 12/2019 · owns 50% to 75% of L••• H•••••••• L••
  • F•••••• V•••••••• P•••••• · Director Of Operations
    since 05/2022 · owns less than 5%
Entity owners
  • L••• H•••••••• L•• · Sole Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • L••• L• L••• • A•••••••••
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Philadelphia, Pa · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,056 to 1,175
    Jun 27, 2023 to Mar 26, 2024
  • Advisory employees · 8 to 7
    Jun 27, 2023 to Mar 26, 2024
  • BD registered reps · 9 to 11
    Jun 27, 2023 to Mar 26, 2024
  • Charity clients · 9 to 10
    Jun 27, 2023 to Mar 26, 2024
  • Corporate clients · 19 to 31
    Jun 27, 2023 to Mar 26, 2024
  • HNW clients · 383 to 422
    Jun 27, 2023 to Mar 26, 2024
  • Individual clients · 238 to 244
    Jun 27, 2023 to Mar 26, 2024
  • Pension plan clients · 60 to 59
    Jun 27, 2023 to Mar 26, 2024
  • Assets in custody · $84.7M to $103M
    Jun 27, 2023 to Mar 26, 2024
  • Employees · 13 to 14
    Jun 27, 2023 to Mar 26, 2024
  • Insurance-licensed employees · 4 to 5
    Jun 27, 2023 to Mar 26, 2024
  • State-registered IARs · 8 to 7
    Jun 27, 2023 to Mar 26, 2024
  • Discretionary RAUM · $796M to $943M
    Jun 27, 2023 to Mar 26, 2024
  • HNW RAUM · $549M to $675M
    Jun 27, 2023 to Mar 26, 2024
  • Individual RAUM · $56.4M to $59.4M
    Jun 27, 2023 to Mar 26, 2024
  • Pension RAUM · $72.0M to $80.9M
    Jun 27, 2023 to Mar 26, 2024
  • RAUM · $796M to $943M
    Jun 27, 2023 to Mar 26, 2024
  • Corporate clients · 22 to 19
    Mar 27, 2023 to Jun 27, 2023
  • HNW clients · 645 to 383
    Mar 27, 2023 to Jun 27, 2023
  • Individual clients · 313 to 238
    Mar 27, 2023 to Jun 27, 2023
  • Pension plan clients · 67 to 60
    Mar 27, 2023 to Jun 27, 2023
  • Accounts · 975 to 1,056
    Aug 17, 2022 to Mar 24, 2023
  • Advisory employees · 7 to 8
    Aug 17, 2022 to Mar 24, 2023
  • Corporate clients · 19 to 22
    Aug 17, 2022 to Mar 24, 2023
  • HNW clients · 339 to 645
    Aug 17, 2022 to Mar 24, 2023
  • Individual clients · 224 to 313
    Aug 17, 2022 to Mar 24, 2023
  • Pension plan clients · 60 to 67
    Aug 17, 2022 to Mar 24, 2023
  • Assets in custody · $86.8M to $84.7M
    Aug 17, 2022 to Mar 24, 2023
  • Employees · 12 to 13
    Aug 17, 2022 to Mar 24, 2023
  • Discretionary RAUM · $766M to $796M
    Aug 17, 2022 to Mar 24, 2023
  • HNW RAUM · $498M to $549M
    Aug 17, 2022 to Mar 24, 2023
  • Individual RAUM · $58.4M to $56.4M
    Aug 17, 2022 to Mar 24, 2023
  • Pension RAUM · $80.8M to $72.0M
    Aug 17, 2022 to Mar 24, 2023
  • RAUM · $766M to $796M
    Aug 17, 2022 to Mar 24, 2023
  • Accounts · 853 to 975
    Aug 16, 2021 to Mar 31, 2022
  • Advisory employees · 6 to 7
    Aug 16, 2021 to Mar 31, 2022
  • BD registered reps · 6 to 9
    Aug 16, 2021 to Mar 31, 2022
  • Charity clients · 0 to 9
    Aug 16, 2021 to Mar 31, 2022
  • Corporate clients · 0 to 19
    Aug 16, 2021 to Mar 31, 2022
  • HNW clients · 168 to 339
    Aug 16, 2021 to Mar 31, 2022
Signals
16 dated events
  • 2 advisors left L•• F•••••••• L•• (Lafayette Hill, PA) for L••• W••••• M••••••••• G•••• on the same day
    Mar 12, 2025 · Team lift-out · derived
  • M•••••• T••••• C••••••••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-03)
    Dec 6, 2024 · Advisor changed firm · fact
  • V••••• S••••• L••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-03)
    Dec 6, 2024 · Advisor changed firm · fact
  • J••••• R••••••••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-03)
    Dec 6, 2024 · Advisor changed firm · fact
  • J•••• L••••••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-04)
    Dec 6, 2024 · Advisor changed firm · fact
  • L••• W••••• M••••••••• G••••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Philadelphia, PA): 4 of 4 registered, on the same day
    Dec 6, 2024 · Firm absorbed (people side) · derived
  • R•••••• S••••••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-03)
    Sep 24, 2024 · Advisor changed firm · fact
  • W••••• W•••••••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-03)
    Sep 24, 2024 · Advisor changed firm · fact
  • T•••••• D•••••••• left L••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-09-03)
    Sep 24, 2024 · Advisor changed firm · fact
  • 3 advisors left L••• W••••• M••••••••• G•••• (Philadelphia, PA) for W••••• E••••••••• A••••••• S•••••••• L•• on the same day
    Sep 24, 2024 · Team lift-out · derived
  • J••••• R••••••••• (Member) appeared on Schedule A of L••• W••••• M••••••••• G••••
    Mar 26, 2024 · Control person joined · fact
  • B••••••• W•••••• H••• left L••• W••••• M••••••••• G•••• for S•••• T•••• I••••••••• (registered 2023-09-20)
    Sep 5, 2023 · Advisor changed firm · fact
  • L••• W••••• M••••••••• G•••• reported RAUM $766.3M, up 25% from $611.8M (2021-08-16 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • L••• W••••• M••••••••• G•••• reported RAUM $611.8M, up 57% from $390.1M (2020-06-18 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • T Michael Clatterbuck (Director Of Operations) appeared on Schedule A of L••• W••••• M••••••••• G••••
    Jan 6, 2020 · Control person joined · fact
  • L••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
    Nov 7, 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.
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