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•• W••••• M••••••••• L••
Latest filing Jun 23, 2026
First filing on the tape Jun 1, 2021 · 22 filings
SEC status approved since Jun 30, 2021
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$147M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$152M as of Jun 23, 2026
Feb 9, 2022$120M then
HNW client RAUM$141M as of Jun 23, 2026
Feb 9, 2022$120M then
State-registered IARs (5.B.3)3 as of Jun 23, 2026
Feb 9, 20221 then
Employees (5.A)3 as of Jun 23, 2026
Feb 9, 20221 then
Private funds1 as of Jun 23, 2026
Mar 27, 20231 then
RAUM +3.9% over the last fiscal year+7.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $811,704derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $1.1M, 1 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M93%
- Individuals$5.8M3.8%
- Charitable organizations$3.0M2.0%
- Pooled investment vehicles$1.1M0.7%
- Corporations and businesses$755,0770.5%
- Pension and profit-sharing plans$11,5800.0%
- Individual clients
- 30reported
- HNW clients
- 43reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 187reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.01 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• D•••• G••••• | Westport, Ct | Mar 12, 2021 | 27 y | 2 |
| M•••••• R••••• W••••• | Westport, Ct | May 25, 2022 | 14 y | 0 |
| J••• C•••••• B••••• M•••••• | Westport, Ct | Jun 15, 2026 | 10 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
- T••••• D•••• G••••• from U••••• C•••••• F•••••••• A•••••••Mar 12, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••• P••••• F••• I• U• A•••••• L• | Venture Capital Fund | $1.6M | 11 | May 10, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• T•••••• D•••• · President & Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- R••••• S••••• · Managercontrolsince 04/2012 · owns 75% or more of L•• C•••••• P••••••• L••
Entity owners
- L•• C•••••• P••••••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Westport, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Feb 26, 2026 to Jun 23, 2026
- Employees · 2 to 3Feb 26, 2026 to Jun 23, 2026
- State-registered IARs · 2 to 3Feb 26, 2026 to Jun 23, 2026
- Accounts · 193 to 187Aug 19, 2025 to Jan 13, 2026
- Advisory activities · 6 to 7Aug 19, 2025 to Jan 13, 2026
- Charity clients · 0 to 1Aug 19, 2025 to Jan 13, 2026
- HNW clients · 42 to 43Aug 19, 2025 to Jan 13, 2026
- Individual clients · 27 to 30Aug 19, 2025 to Jan 13, 2026
- Assets in custody · $1.4M to $1.1MAug 19, 2025 to Jan 13, 2026
- Employees · 3 to 2Aug 19, 2025 to Jan 13, 2026
- State-registered IARs · 3 to 2Aug 19, 2025 to Jan 13, 2026
- Discretionary RAUM · $146M to $152MAug 19, 2025 to Jan 13, 2026
- HNW RAUM · $139M to $141MAug 19, 2025 to Jan 13, 2026
- Individual RAUM · $5.3M to $5.8MAug 19, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $5,400 to $11,580Aug 19, 2025 to Jan 13, 2026
- Pension RAUM · $5,400 to $11,580Aug 19, 2025 to Jan 13, 2026
- Pooled vehicle RAUM · $1.7M to $1.1MAug 19, 2025 to Jan 13, 2026
- RAUM · $146M to $152MAug 19, 2025 to Jan 13, 2026
- Accounts · 179 to 193Feb 28, 2024 to Feb 19, 2025
- Corporate clients · 1 to 2Feb 28, 2024 to Feb 19, 2025
- HNW clients · 41 to 42Feb 28, 2024 to Feb 19, 2025
- Individual clients · 21 to 27Feb 28, 2024 to Feb 19, 2025
- Pension plan clients · 0 to 1Feb 28, 2024 to Feb 19, 2025
- Assets in custody · $1.6M to $1.4MFeb 28, 2024 to Feb 19, 2025
- Financial planning clients · 11-25 to 1-10Feb 28, 2024 to Feb 19, 2025
- Discretionary RAUM · $123M to $146MFeb 28, 2024 to Feb 19, 2025
- HNW RAUM · $117M to $139MFeb 28, 2024 to Feb 19, 2025
- Individual RAUM · $3.3M to $5.3MFeb 28, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $0 to $5,400Feb 28, 2024 to Feb 19, 2025
- Pension RAUM · $0 to $5,400Feb 28, 2024 to Feb 19, 2025
- Pooled vehicle RAUM · $1.6M to $1.7MFeb 28, 2024 to Feb 19, 2025
- RAUM · $123M to $146MFeb 28, 2024 to Feb 19, 2025
- Accounts · 184 to 179Nov 28, 2023 to Feb 8, 2024
- Advisory employees · 3 to 2Nov 28, 2023 to Feb 8, 2024
- HNW clients · 40 to 41Nov 28, 2023 to Feb 8, 2024
- Individual clients · 22 to 21Nov 28, 2023 to Feb 8, 2024
- Assets in custody · $1.6M to $1.6MNov 28, 2023 to Feb 8, 2024
- Financial planning clients · 26-50 to 11-25Nov 28, 2023 to Feb 8, 2024
- Discretionary RAUM · $114M to $123MNov 28, 2023 to Feb 8, 2024
- HNW RAUM · $109M to $117MNov 28, 2023 to Feb 8, 2024
Signals
1 dated events
- L•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•• W••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 203-780-2272reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- lcrwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-780-2272reportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- lcrwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $50.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026