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.

Former SEC-registered adviser

Lifegoal Investments LLC

Former SEC-registered adviserCRD 313831SEC 801-121208IAPD
Latest filing Mar 21, 2023
First filing on the tape Apr 13, 2021 · 3 filings
RAUM
$9.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$9.6M as of Mar 21, 2023
Feb 28, 2022$4.7M then
HNW client RAUM$0 as of Mar 21, 2023
Feb 28, 2022$0 then
State-registered IARs (5.B.3)2 as of Mar 21, 2023
Feb 28, 20222 then
Employees (5.A)2 as of Mar 21, 2023
Feb 28, 20222 then
Private funds: no history
RAUM +104% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2023; every figure names its basis
RAUM per advisor
$4.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+104%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$9.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Richard Brett Sohns · Membercontrol
      since 03/2021 · owns 25% to 50%
    • P. Taylor Sohns · Membercontrol
      since 03/2021 · owns 25% to 50%
    • Richard Dennis Mason · Chief Compliance Officer
      since 03/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 5 to 3
      Feb 28, 2022 to Mar 21, 2023
    • Discretionary RAUM · $4.7M to $9.6M
      Feb 28, 2022 to Mar 21, 2023
    • RAUM · $4.7M to $9.6M
      Feb 28, 2022 to Mar 21, 2023
    • Accounts · 0 to 5
      Apr 13, 2021 to Feb 28, 2022
    • HQ city · SARATOGA SPRINGS to unset
      Apr 13, 2021 to Feb 28, 2022
    • HQ state · NY to unset
      Apr 13, 2021 to Feb 28, 2022
    • Discretionary RAUM · $0 to $4.7M
      Apr 13, 2021 to Feb 28, 2022
    • RAUM · $0 to $4.7M
      Apr 13, 2021 to Feb 28, 2022
    Signals
    2 dated events
    • P. Taylor Sohns (Member) appeared on Schedule A of Lifegoal Investments Llc
      Feb 28, 2022 · Control person joined · fact
    • Lifegoal Investments Llc filed its initial SEC registration (Form ADV)
      Apr 13, 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.
    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