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•••••••• G••••• L••
Latest filing Jan 22, 2026
First filing on the tape Jul 27, 2020 · 21 filings
SEC status approved since Aug 27, 2020
RAUM
$677M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$671M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$677M as of Jan 22, 2026
Mar 18, 2021$316M then
HNW client RAUM$539M as of Jan 22, 2026
Mar 18, 2021$225M then
State-registered IARs (5.B.3)6 as of Jan 22, 2026
Mar 18, 20213 then
Employees (5.A)8 as of Jan 22, 2026
Mar 18, 20215 then
Private funds: no history
RAUM +19% over the last fiscal year+22% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jan 22, 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
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $286,189derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $81.8M, 121 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$539M80%
- Individuals$132M19%
- Charitable organizations$3.2M0.5%
- Corporations and businesses$2.2M0.3%
- Pension and profit-sharing plans$631,4400.1%
- Individual clients
- 392reported
- HNW clients
- 263reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 2,365reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.8M for 121 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T••••• L••••••Chartered Financial Consultant | Hudson, Wi | Sep 16, 2020 | 24 y | 1 |
| L••• E••••• K••••Certified Financial Planner, Chartered Financial Consultant | Hastings, Mn | Sep 16, 2020 | 18 y | 1 |
| J••••• Q•••••• H••••••Certified Financial Planner, Chartered Financial Consultant | Hudson, Wi | Sep 16, 2020 | 14 y | 1 |
| M•••••• J••• N•••••Certified Financial Planner, Chartered Financial Consultant | Hudson, Wi | Feb 7, 2022 | 10 y | 0 |
| S••• W•••••• B•••Certified Financial Planner | Hudson, Wi | Mar 11, 2024 | 13 y | 1 |
| M•••••• G•••••••Chartered Financial Consultant | Hudson, Wi | Apr 14, 2025 | 11 y | 0 |
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
- S••• W•••••• B••• from I•• F•••••••• A•••••••Mar 11, 2024 · RIA to RIA
- M•••••• T••••• L•••••• from N••••••••• M••••• I••••••••• S•••••••••Sep 16, 2020 · Other
- J••••• Q•••••• H•••••• from N••••••••• M••••• I••••••••• S•••••••••Sep 16, 2020 · Other
- L••• E••••• K•••• from N••••••••• M••••• I••••••••• S•••••••••Sep 16, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••••• M••••• I••••••••• S•••••••••Sep 16, 2020 · Golden Valley, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J•••••• Q•••••• · Chief Operating Officercontrolsince 01/2023 · owns 10% to 25%
- L••••••• M••••••• T••••• · Chief Executive Officer/Managing Membercontrolsince 09/2020 · owns 75% or more
- P••••• H••••• K••••••• · Chief Compliance Officersince 06/2024 · owns less than 5%
Related persons
Schedule D 7.A
- L•• R••• S••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hudson, Wi · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hastings, MN1 employees
What changed
consecutive filings, newest first
- Accounts · 2,397 to 2,365Oct 16, 2025 to Jan 22, 2026
- Corporate clients · 2 to 6Oct 16, 2025 to Jan 22, 2026
- HNW clients · 214 to 263Oct 16, 2025 to Jan 22, 2026
- Individual clients · 399 to 392Oct 16, 2025 to Jan 22, 2026
- Assets in custody · $68.1M to $81.8MOct 16, 2025 to Jan 22, 2026
- Financial planning clients · More than 500 to 251-500Oct 16, 2025 to Jan 22, 2026
- Discretionary RAUM · $564M to $670MOct 16, 2025 to Jan 22, 2026
- HNW RAUM · $415M to $539MOct 16, 2025 to Jan 22, 2026
- Individual RAUM · $148M to $132MOct 16, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $3.2M to $6.9MOct 16, 2025 to Jan 22, 2026
- Pension RAUM · $404,443 to $631,440Oct 16, 2025 to Jan 22, 2026
- RAUM · $567M to $677MOct 16, 2025 to Jan 22, 2026
- Advisory employees · 5 to 6Feb 18, 2025 to Aug 26, 2025
- Employees · 9 to 8Feb 18, 2025 to Aug 26, 2025
- State-registered IARs · 5 to 6Feb 18, 2025 to Aug 26, 2025
- Accounts · 2,139 to 2,397Jul 1, 2024 to Feb 18, 2025
- Charity clients · 2 to 3Jul 1, 2024 to Feb 18, 2025
- HNW clients · 197 to 214Jul 1, 2024 to Feb 18, 2025
- Individual clients · 362 to 399Jul 1, 2024 to Feb 18, 2025
- Assets in custody · $59.4M to $68.1MJul 1, 2024 to Feb 18, 2025
- Employees · 8 to 9Jul 1, 2024 to Feb 18, 2025
- Financial planning clients · More than 500 to More than 500Jul 1, 2024 to Feb 18, 2025
- Discretionary RAUM · $480M to $564MJul 1, 2024 to Feb 18, 2025
- HNW RAUM · $357M to $415MJul 1, 2024 to Feb 18, 2025
- Individual RAUM · $122M to $148MJul 1, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $1.3M to $3.2MJul 1, 2024 to Feb 18, 2025
- Pension RAUM · $247,349 to $404,443Jul 1, 2024 to Feb 18, 2025
- RAUM · $481M to $567MJul 1, 2024 to Feb 18, 2025
- Other offices · 0 to 1Mar 15, 2024 to Jul 1, 2024
- Accounts · 1,876 to 2,139Apr 20, 2023 to Mar 15, 2024
- Advisory employees · 4 to 5Apr 20, 2023 to Mar 15, 2024
- Corporate clients · 1 to 2Apr 20, 2023 to Mar 15, 2024
- HNW clients · 185 to 197Apr 20, 2023 to Mar 15, 2024
- Individual clients · 338 to 362Apr 20, 2023 to Mar 15, 2024
- Assets in custody · $54.2M to $59.4MApr 20, 2023 to Mar 15, 2024
- Employees · 7 to 8Apr 20, 2023 to Mar 15, 2024
- Financial planning clients · 251-500 to More than 500Apr 20, 2023 to Mar 15, 2024
- State-registered IARs · 4 to 5Apr 20, 2023 to Mar 15, 2024
- Other offices · 3 to 0Apr 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $376M to $480MApr 20, 2023 to Mar 15, 2024
Signals
10 dated events
- Edward Luke Keene (Chief Compliance Officer/Chief Investment Officer) no longer on Schedule A of L•••••• F•••••••• G••••• L•• (listed 2024-03-15, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- L•••••• F•••••••• G••••• L•• reported RAUM $481.3M, up 28% from $377.1M (2023-04-20 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- Q Joshua Hawkins (Chief Operating Officer) appeared on Schedule A of L•••••• F•••••••• G••••• L••Feb 28, 2023 · Control person joined · fact
- Lynn Abby Meyers (Chief Compliance Officer/Vp Of Wealth Management Services) no longer on Schedule A of L•••••• F•••••••• G••••• L•• (listed 2020-12-21, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- W•••••• A•••••••• H••••• (Chief Compliance Officer) no longer on Schedule A of L•••••• F•••••••• G••••• L•• (listed 2020-07-27, absent 2020-09-16)Sep 16, 2020 · Control person left · inference
- Nmn C•••• K••••• (Sole Member) no longer on Schedule A of L•••••• F•••••••• G••••• L•• (listed 2020-07-27, absent 2020-09-16)Sep 16, 2020 · Control person left · inference
- Lynn Abby Meyers (Chief Compliance Officer/Vp Of Wealth Management Services) appeared on Schedule A of L•••••• F•••••••• G••••• L••Sep 16, 2020 · Control person joined · fact
- Edward Luke Keene (Chief Investment Officer/Executive Vice President) appeared on Schedule A of L•••••• F•••••••• G••••• L••Sep 16, 2020 · Control person joined · fact
- Thomas M•••••• Leverty (Chief Executive Officer/Managing Member) appeared on Schedule A of L•••••• F•••••••• G••••• L••Sep 16, 2020 · Control person joined · fact
- A••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 27, 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.
How to reach
public business contact points only, each with its source
- Business email
- lfgteam@levertyfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 715-377-2080reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- levertyfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 715-377-2080reportedpublic record, Form ADV, Jan 22, 2026
- Team page
- levertyfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026