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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
F•••• L••
Latest filing Sep 30, 2024
First filing on the tape Oct 9, 2023 · 7 filings
RAUM
n/a
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
5
4 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: no history
HNW client RAUM$0 as of Sep 30, 2024
Oct 9, 2023$0 then
State-registered IARs (5.B.3)4 as of Sep 30, 2024
Oct 9, 20235 then
Employees (5.A)5 as of Sep 30, 2024
Oct 9, 20235 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 30, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- hourly, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, educational seminarsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- controlled by a public reporting company (10.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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- hourlyreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- T•••• A•••• P•••• to A••••••• F•••••••• A•••••••• L••Dec 31, 2025 · Other
Joined, latest
- T•••• A•••• P•••• from O•••• I••••••••• I•••Jun 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• J••••• L••• · Chief Executive Officer & Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- S•••••••• J••••• L••• · Membercontrolsince 08/2022 · owns 25% to 50% of F•••••••• A•••••• O• C•••• L••
Entity owners
- F•••••••• A•••••• O• C•••• L•• · Memberdirect · owns 75% or more
- D••••••••• I••••••••• G••••• L•• · Memberindirect · owns 25% to 50% of F•••••••• A•••••• O• C•••• L••
- S•••• I••••••••• L•• · Memberindirect · owns 25% to 50% of F•••••••• A•••••• O• C•••• L••
- C•••• C••••••• L•• · Memberindirect · owns F of F•••••••• A•••••• O• C•••• L••
- T••• L••••••• L•• · Memberindirect · owns F of F•••••••• A•••••• O• C•••• L••
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 |
|---|---|---|---|---|---|
| Largo, Fl · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 1-10Jun 4, 2024 to Sep 30, 2024
- State-registered IARs · 5 to 4Jun 4, 2024 to Sep 30, 2024
- Advisory employees · 5 to 4Mar 28, 2024 to Apr 29, 2024
Signals
2 dated events
- T•••• A•••• P•••• left F•••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2026-04-02)Dec 31, 2025 · a•••••• firm change · fact
- F•••• L•• filed its initial SEC registration (Form ADV)Oct 9, 2023 · 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