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••••• I••
Latest filing Jan 23, 2026
First filing on the tape Oct 7, 2021 · 9 filings
SEC status approved since Nov 8, 2021
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
1
1 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$110M as of Jan 23, 2026
Jan 17, 2022$129M then
HNW client RAUM$95.4M as of Jan 23, 2026
Jan 17, 2022$98.0M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Jan 17, 20220 then
Employees (5.A)1 as of Jan 23, 2026
Jan 17, 20221 then
Private funds: no history
RAUM -18% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $406,202derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $7.9MreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.4M87%
- Individuals$14.7M13%
- Individual clients
- 34reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 271reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $7.9M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• L••• L••••••••Chartered Financial Consultant | N•••••• Beach, Ca | Nov 8, 2021 | 34 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L••• L••• L•••••••• from N•••••• W••••• S••••••••• I•••Nov 8, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• L•••• L••• · Chief Compliance Officercontrolsince 11/2021 · owns less than 5%
- L••••••••• L•••• L••• · Trusteecontrolsince 09/2004 · owns 75% or more of L••• L• L•••••••• L••••• T••••
Entity owners
- L••• L• L•••••••• L••••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jan 23, 2026custody of client assets (Item 9.A): yes on the filing of 2025-01-14, no on the filing of 2026-01-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 252 to 271Jan 14, 2025 to Jan 23, 2026
- HNW clients · 32 to 35Jan 14, 2025 to Jan 23, 2026
- Individual clients · 39 to 34Jan 14, 2025 to Jan 23, 2026
- Assets in custody · 392369.0 to unsetJan 14, 2025 to Jan 23, 2026
- Custody of client assets · true to falseJan 14, 2025 to Jan 23, 2026
- Discretionary RAUM · $135M to $110MJan 14, 2025 to Jan 23, 2026
- HNW RAUM · $119M to $95.4MJan 14, 2025 to Jan 23, 2026
- Individual RAUM · $15.6M to $14.7MJan 14, 2025 to Jan 23, 2026
- RAUM · $135M to $110MJan 14, 2025 to Jan 23, 2026
- Wrap assets (sponsor) · $48.9M to $7.9MJan 14, 2025 to Jan 23, 2026
- Accounts · 241 to 252Feb 8, 2024 to Jan 14, 2025
- Individual clients · 45 to 39Feb 8, 2024 to Jan 14, 2025
- Assets in custody · $190,926 to $392,369Feb 8, 2024 to Jan 14, 2025
- Financial planning clients · 11-25 to 1-10Feb 8, 2024 to Jan 14, 2025
- Discretionary RAUM · $120M to $135MFeb 8, 2024 to Jan 14, 2025
- HNW RAUM · $105M to $119MFeb 8, 2024 to Jan 14, 2025
- Individual RAUM · $14.7M to $15.6MFeb 8, 2024 to Jan 14, 2025
- RAUM · $120M to $135MFeb 8, 2024 to Jan 14, 2025
- Wrap assets (sponsor) · $44.3M to $48.9MFeb 8, 2024 to Jan 14, 2025
- Accounts · 230 to 241Feb 1, 2023 to Feb 8, 2024
- HNW clients · 85 to 32Feb 1, 2023 to Feb 8, 2024
- Individual clients · 15 to 45Feb 1, 2023 to Feb 8, 2024
- Assets in custody · $35.0M to $190,926Feb 1, 2023 to Feb 8, 2024
- Financial planning clients · 1-10 to 11-25Feb 1, 2023 to Feb 8, 2024
- State-registered IARs · 0 to 1Feb 1, 2023 to Feb 8, 2024
- Discretionary RAUM · $110M to $120MFeb 1, 2023 to Feb 8, 2024
- HNW RAUM · $109M to $105MFeb 1, 2023 to Feb 8, 2024
- Individual RAUM · $1.3M to $14.7MFeb 1, 2023 to Feb 8, 2024
- RAUM · $110M to $120MFeb 1, 2023 to Feb 8, 2024
- Wrap assets (sponsor) · $41.4M to $44.3MFeb 1, 2023 to Feb 8, 2024
- Accounts · 216 to 230Jan 17, 2022 to Feb 1, 2023
- HNW clients · 38 to 85Jan 17, 2022 to Feb 1, 2023
- Individual clients · 66 to 15Jan 17, 2022 to Feb 1, 2023
- Assets in custody · $693,304 to $35.0MJan 17, 2022 to Feb 1, 2023
- Discretionary RAUM · $129M to $110MJan 17, 2022 to Feb 1, 2023
- HNW RAUM · $98.0M to $109MJan 17, 2022 to Feb 1, 2023
- Individual RAUM · $31.1M to $1.3MJan 17, 2022 to Feb 1, 2023
- RAUM · $129M to $110MJan 17, 2022 to Feb 1, 2023
- Wrap assets (manager) · unset to 0.0Jan 17, 2022 to Feb 1, 2023
- Wrap assets (sponsor) · unset to 41429496.0Jan 17, 2022 to Feb 1, 2023
Signals
1 dated events
- L•••••••• F•••••••• G••••• I•• filed its initial SEC registration (Form ADV)Oct 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
- Firm profile
- linkedin.com/company/lockerman-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-544-3500reportedpublic record, Form ADV, Jan 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026