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•••••• I•••••••••
Legal name L•••••• I••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Aug 2, 2021 · 9 filings
SEC status approved since Sep 8, 2021
RAUM
$2.9B
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
3.0%
$85.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.9B as of Mar 10, 2026
Mar 10, 2022$3.4B then
HNW client RAUM$85.1M as of Mar 10, 2026
Mar 10, 2022$69.2M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 10, 20222 then
Employees (5.A)14 as of Mar 10, 2026
Mar 10, 202212 then
Private funds: no history
RAUM +4.2% over the last fiscal year-0.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $53.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.1B38%
- Other investment advisers$716M25%
- Pension and profit-sharing plans$338M12%
- Insurance companies$209M7.3%
- State and municipal entities$162M5.7%
- Charitable organizations$152M5.3%
- High-net-worth individuals$85.1M3.0%
- Pooled investment vehicles$60.5M2.1%
- Corporations and businesses$45.1M1.6%
- Individual clients
- 0reported
- HNW clients
- 11reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 54reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $877M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.65 institutional_share=0.3 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 |
|---|---|---|---|---|
| J•• C• W••••••••Chartered Financial Analyst | Boston, Ma | Mar 17, 2022 | 23 y | 1 |
| R• T••• V••••••Chartered Financial Analyst | Boston, Ma | Mar 28, 2022 | 17 y | 1 |
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
- R• T••• V•••••• from L••• I••••••••• L••Mar 28, 2022 · Other
- J•• C• W•••••••• from L••• I••••••••• L••Mar 17, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L••• I••••••••• L••Mar 29, 2022 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• P•••• T••••••• · Chief Operating Officer, Membercontrolsince 03/2022 · owns 5% to 10%
- P•••• C••••••• A••• · Chief Financial Officer, Membercontrolsince 03/2022 · owns less than 5%
- T•••••••• P•••••••• A•• · Chief Compliance Officer, Membercontrolsince 03/2022 · owns less than 5%
- V••••••• R•• T••• · President, Manager, Portfolio Managercontrolsince 03/2022 · owns 25% to 50%
- W••••••••• J••• C• · Manager, Member, Portfolio Managercontrolsince 03/2022 · owns 10% to 25%
- B••••••• T••••••• D•••• · Investment Analyst, Membersince 03/2022 · owns 5% to 10%
- M•••••• T••••••• P••• · Investment Analyst, Membersince 03/2022 · owns 5% to 10%
- S••••••••• R•••• R••• · Investment Analyst, Membersince 03/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 10, 2026institutional share of RAUM of 30% against a peer median of 0% (1506 comparable advisers, 99.0th percentile, 10.1 robust deviations)peers: asset managers, $1B to $5B (1,506) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 56 to 54Mar 27, 2025 to Mar 10, 2026
- Pension plan clients · 4 to 3Mar 27, 2025 to Mar 10, 2026
- Discretionary RAUM · $2.1B to $2.0BMar 27, 2025 to Mar 10, 2026
- HNW RAUM · $66.8M to $85.1MMar 27, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $696M to $863MMar 27, 2025 to Mar 10, 2026
- Pension RAUM · $305M to $338MMar 27, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · $54.6M to $60.5MMar 27, 2025 to Mar 10, 2026
- RAUM · $2.8B to $2.9BMar 27, 2025 to Mar 10, 2026
- Wrap assets (manager) · $696M to $877MMar 27, 2025 to Mar 10, 2026
- Accounts · 62 to 56Mar 26, 2024 to Mar 27, 2025
- Advisory activities · 3 to 4Mar 26, 2024 to Mar 27, 2025
- Corporate clients · 3 to 1Mar 26, 2024 to Mar 27, 2025
- HNW clients · 13 to 11Mar 26, 2024 to Mar 27, 2025
- Pooled vehicle clients · 2 to 1Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.2B to $2.1BMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $66.0M to $66.8MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $652M to $696MMar 26, 2024 to Mar 27, 2025
- Pension RAUM · $280M to $305MMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $71.1M to $54.6MMar 26, 2024 to Mar 27, 2025
- RAUM · $2.8B to $2.8BMar 26, 2024 to Mar 27, 2025
- Wrap assets (manager) · $572M to $696MMar 26, 2024 to Mar 27, 2025
- Accounts · 59 to 62Mar 29, 2023 to Mar 26, 2024
- HNW clients · 12 to 13Mar 29, 2023 to Mar 26, 2024
- Employees · 13 to 14Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.3B to $2.2BMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $64.8M to $66.0MMar 29, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $616M to $652MMar 29, 2023 to Mar 26, 2024
- Pension RAUM · $289M to $280MMar 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $59.6M to $71.1MMar 29, 2023 to Mar 26, 2024
- RAUM · $2.9B to $2.8BMar 29, 2023 to Mar 26, 2024
- Wrap assets (manager) · $539M to $572MMar 29, 2023 to Mar 26, 2024
- Accounts · 69 to 59Mar 11, 2022 to Mar 29, 2023
- Charity clients · 0 to 4Mar 11, 2022 to Mar 29, 2023
- Individual clients · 4 to 0Mar 11, 2022 to Mar 29, 2023
- Pension plan clients · 5 to 4Mar 11, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 2Mar 11, 2022 to Mar 29, 2023
- Employees · 12 to 13Mar 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.7B to $2.3BMar 11, 2022 to Mar 29, 2023
- HNW RAUM · $69.2M to $64.8MMar 11, 2022 to Mar 29, 2023
Signals
6 dated events
- 2 advisors left L••• I••••••••• L•• (Boston, MA) for L•••••• I••••••••• on the same dayMar 29, 2022 · Team lift-out · derived
- Todd R. Vingers (President, Manager, Portfolio Manager) appeared on Schedule A of L•••••• I•••••••••Mar 10, 2022 · Control person joined · fact
- C. Jay Willadsen (Manager, Member, Portfolio Manager) appeared on Schedule A of L•••••• I•••••••••Mar 10, 2022 · Control person joined · fact
- Ashe Colleen Pink (Chief Financial Officer, Member) appeared on Schedule A of L•••••• I•••••••••Mar 10, 2022 · Control person joined · fact
- Joseph F Iii Tower (President) no longer on Schedule A of L•••••• I••••••••• (listed 2021-08-04, absent 2022-03-10)Mar 10, 2022 · Control person left · inference
- L•••••• I••••••••• filed its initial SEC registration (Form ADV)Aug 2, 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
- Firm profile
- linkedin.com/company/leeward-investments-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- leewardinvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-468-6700reportedpublic record, Form ADV, Mar 10, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026