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••• A••••• F•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jul 7, 2021 · 25 filings
SEC status approved since Aug 6, 2021
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$144M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$30.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$155M as of Mar 23, 2026
Jan 18, 2022$107M then
HNW client RAUM$79.9M as of Mar 23, 2026
Jan 18, 2022$47.7M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Jan 18, 20223 then
Employees (5.A)5 as of Mar 23, 2026
Jan 18, 20226 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $30.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $211,641derivedRAUM 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
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- 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)
- 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
- High-net-worth individuals$79.9M52%
- Individuals$64.6M42%
- Banks and thrifts$10.3M6.6%
- Individual clients
- 257reported
- HNW clients
- 36reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 731reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• B••• C•••••••• | Pasadena, Ca | Jan 3, 2022 | 28 y | 6 |
| J••••• K••• V•••••• | Bellevue, Wa | Jan 10, 2022 | 18 y | 5 |
| C•••• V• V••••••••• | Woodland Hills, Ca | Apr 4, 2025 | 11 y | 0 |
| J•••• R••••• S•••• | Shoreline, Wa | Jul 15, 2025 | 12 y | 3 |
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 headcount2 left over 36 months
Left, latest
- J•••••• L••• B••• to A• W••••• M••••••••• L••May 19, 2025 · RIA to affiliated broker-dealer or bank
- E••• M•••••• L••••• to H••••• I••••• F••••••••• L••Sep 13, 2024 · RIA to a state-registered adviser
- A••• Z•••••••• to K•••••• I••••••••• M••••••••• I•••Jun 13, 2023 · RIA to RIA
Joined, latest
- J•••• R••••• S•••• from S•••••••• A••••••• L••Jul 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••••• L••• B••• from A•••• A••••••••Jul 26, 2024 · RIA to RIA
- E••• M•••••• L••••• from E••••• J••••Jul 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• K••• V•••••• from G••••• S•••• E••••• A•••••••• L••Jan 10, 2022 · RIA to a newly registered adviser
- A••• B••• C•••••••• from I••••••••• W••••• C••••••• L••Jan 3, 2022 · RIA to a newly registered adviser
- A••• Z•••••••• from I••••••••• W••••• C••••••• L••Aug 6, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••••• W••••• C••••••• L••Oct 15, 2021 · Pasadena, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• A•••• B••• · Managing Membercontrolsince 06/2021 · owns 75% or more
- C••••••••• R•••• I•••• · Ccosince 07/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 5 | 0 | 0 | ||
| Riverside, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 23, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-11-12, no on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 700 to 731Nov 12, 2025 to Mar 23, 2026
- HNW clients · 33 to 36Nov 12, 2025 to Mar 23, 2026
- Individual clients · 239 to 257Nov 12, 2025 to Mar 23, 2026
- Discretionary RAUM · $132M to $155MNov 12, 2025 to Mar 23, 2026
- HNW RAUM · $75.0M to $79.9MNov 12, 2025 to Mar 23, 2026
- Individual RAUM · $53.1M to $64.6MNov 12, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $6.3M to $0Nov 12, 2025 to Mar 23, 2026
- RAUM · $138M to $155MNov 12, 2025 to Mar 23, 2026
- Wrap assets (manager) · 0.0 to unsetNov 12, 2025 to Mar 23, 2026
- Wrap assets (sponsor) · 0.0 to unsetNov 12, 2025 to Mar 23, 2026
- Financial planning clients · 11-25 to 11-25Jun 9, 2025 to Jul 15, 2025
- Accounts · 670 to 700Jul 12, 2024 to Apr 4, 2025
- Business name · W••••••••• P••••••• L•• to L••• A••••• F•••••••• L••Jul 12, 2024 to Apr 4, 2025
- HNW clients · 31 to 33Jul 12, 2024 to Apr 4, 2025
- Individual clients · 256 to 239Jul 12, 2024 to Apr 4, 2025
- Legal name · W••••••••• P••••••• L•• to L••• A••••• F•••••••• L••Jul 12, 2024 to Apr 4, 2025
- Other offices · 2 to 3Jul 12, 2024 to Apr 4, 2025
- Discretionary RAUM · $109M to $132MJul 12, 2024 to Apr 4, 2025
- HNW RAUM · $58.9M to $75.0MJul 12, 2024 to Apr 4, 2025
- Individual RAUM · $45.2M to $53.1MJul 12, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $6.1M to $6.3MJul 12, 2024 to Apr 4, 2025
- RAUM · $115M to $138MJul 12, 2024 to Apr 4, 2025
- Other offices · 1 to 2Mar 21, 2024 to Jul 12, 2024
- Accounts · 636 to 670Oct 25, 2023 to Mar 21, 2024
- Advisory employees · 4 to 3Oct 25, 2023 to Mar 21, 2024
- HNW clients · 34 to 31Oct 25, 2023 to Mar 21, 2024
- Individual clients · 237 to 256Oct 25, 2023 to Mar 21, 2024
- Employees · 7 to 5Oct 25, 2023 to Mar 21, 2024
- State-registered IARs · 4 to 3Oct 25, 2023 to Mar 21, 2024
- Other offices · 2 to 1Oct 25, 2023 to Mar 21, 2024
- Discretionary RAUM · $96.4M to $109MOct 25, 2023 to Mar 21, 2024
- HNW RAUM · $48.3M to $58.9MOct 25, 2023 to Mar 21, 2024
- Individual RAUM · $54.1M to $45.2MOct 25, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $6.0M to $6.1MOct 25, 2023 to Mar 21, 2024
- RAUM · $102M to $115MOct 25, 2023 to Mar 21, 2024
- Accounts · 573 to 636Sep 9, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Sep 9, 2022 to Mar 28, 2023
- HNW clients · 31 to 34Sep 9, 2022 to Mar 28, 2023
- Individual clients · 207 to 237Sep 9, 2022 to Mar 28, 2023
- Assets in custody · 1955813.0 to unsetSep 9, 2022 to Mar 28, 2023
Signals
4 dated events
- J•••••• L••• B••• left L••• A••••• F•••••••• L•• for A• W••••• M••••••••• L•• (registered 2025-06-13)May 19, 2025 · Advisor changed firm · fact
- E••• M•••••• L••••• left L••• A••••• F•••••••• L•• for H••••• I••••• F••••••••• L•• (registered 2026-01-01)Sep 13, 2024 · Advisor changed firm · fact
- A••• Z•••••••• left L••• A••••• F•••••••• L•• for K•••••• I••••••••• M••••••••• I••• (registered 2026-07-01)Jun 13, 2023 · Advisor changed firm · fact
- W••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 7, 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
- Business phone
- 626-689-2012reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lake-avereportedpublic record, Form ADV, Sep 18, 2026
- Website
- lakeave.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-689-2012reportedpublic record, Form ADV, Mar 23, 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
- $30.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026