DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L• A••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Oct 29, 2024 · 6 filings
SEC status approved since Nov 27, 2024
RAUM
$53.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$46.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$53.5M
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
6 filings and snapshots on the tape
RAUM$53.5M as of Feb 13, 2026
Jan 27, 2025$43.6M then
HNW client RAUM$44.2M as of Feb 13, 2026
Jan 27, 2025$36.2M then
State-registered IARs (5.B.3)1 as of Feb 13, 2026
Jan 27, 20251 then
Employees (5.A)1 as of Feb 13, 2026
Jan 27, 20251 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $53.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $938,596derivedRAUM 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
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$44.2M94%
- Individuals$2.7M5.8%
- Individual clients
- 9reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 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••••••• S•••• T••••• | New City, Ny | Feb 7, 2022 | 26 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• L•••••••• S•••• · Chief Compliance Officer/Managing Membercontrolsince 01/2020 · owns 75% or more
Related persons
Schedule D 7.A
- L••••••• T•••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 46 to 57Jan 27, 2025 to Feb 13, 2026
- HNW clients · 9 to 8Jan 27, 2025 to Feb 13, 2026
- Individual clients · 7 to 9Jan 27, 2025 to Feb 13, 2026
- Financial planning clients · 1-10 to 0Jan 27, 2025 to Feb 13, 2026
- Discretionary RAUM · $43.6M to $53.5MJan 27, 2025 to Feb 13, 2026
- HNW RAUM · $36.2M to $44.2MJan 27, 2025 to Feb 13, 2026
- Individual RAUM · $1.2M to $2.7MJan 27, 2025 to Feb 13, 2026
- RAUM · $43.6M to $53.5MJan 27, 2025 to Feb 13, 2026
- Accounts · 13 to 46Dec 5, 2024 to Jan 27, 2025
- Individual clients · 3 to 7Dec 5, 2024 to Jan 27, 2025
- Financial planning clients · 1-10 to 1-10Dec 5, 2024 to Jan 27, 2025
- HQ city · unset to NEW CITYDec 5, 2024 to Jan 27, 2025
- HQ state · unset to NYDec 5, 2024 to Jan 27, 2025
- Discretionary RAUM · $42.6M to $43.6MDec 5, 2024 to Jan 27, 2025
- HNW RAUM · $35.3M to $36.2MDec 5, 2024 to Jan 27, 2025
- Individual RAUM · $998,964 to $1.2MDec 5, 2024 to Jan 27, 2025
- RAUM · $42.6M to $43.6MDec 5, 2024 to Jan 27, 2025
Signals
1 dated events
- L• A••••••• L•• filed its initial SEC registration (Form ADV)Oct 29, 2024 · 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
- Principal office phone
- 917-352-3424reportedpublic record, Form ADV, Feb 13, 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
- $53.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026