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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Former SEC-registered adviser
L••••••••• L••
Latest filing Mar 31, 2022
First filing on the tape Nov 2, 2021 · 7 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
7 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2022
Nov 2, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2022
Nov 2, 20211 then
Employees (5.A)1 as of Mar 31, 2022
Nov 2, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
- K•••••• S•••• to L•• E••••••••• L••May 5, 2023 · Other
Joined, latest
- K•••••• S•••• from C•••••••• M••••••••• G••••Dec 1, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• K••••••• K•••••• · President & Chief Compliance Officercontrolsince 11/2021 · 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.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Feb 23, 2022 to Mar 31, 2022
- Advisory activities · 1 to 2Feb 23, 2022 to Mar 31, 2022
- Assets in custody · unset to 0.0Feb 23, 2022 to Mar 31, 2022
- Custody of client assets · false to trueFeb 23, 2022 to Mar 31, 2022
- Discretionary RAUM · unset to 0.0Feb 23, 2022 to Mar 31, 2022
- Non-discretionary RAUM · unset to 0.0Feb 23, 2022 to Mar 31, 2022
- RAUM · unset to 0.0Feb 23, 2022 to Mar 31, 2022
- Accounts · 0.0 to unsetDec 1, 2021 to Feb 22, 2022
- Discretionary RAUM · 0.0 to unsetDec 1, 2021 to Feb 22, 2022
- Non-discretionary RAUM · 0.0 to unsetDec 1, 2021 to Feb 22, 2022
- RAUM · 0.0 to unsetDec 1, 2021 to Feb 22, 2022
Signals
2 dated events
- Kathryn Swain left Lgbtqinvest, Llc for Lpl Enterprise, Llc (registered 2025-06-25)May 5, 2023 · Advisor changed firm · fact
- Lgbtqinvest, Llc filed its initial SEC registration (Form ADV)Nov 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.
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