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•••• C•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 8, 2022 · 10 filings
SEC status approved since Feb 16, 2023
RAUM
$135M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
94%
$127M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$135M as of Mar 31, 2026
Mar 31, 2023$112M then
HNW client RAUM$127M as of Mar 31, 2026
Mar 31, 2023$107M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20231 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20232 then
Private funds: 1
RAUM +18% over the last fiscal year+6.6% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.7MderivedHNW RAUM over HNW clients
- Average account
- $795,670derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $44.2M, 14 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M94%
- Corporations and businesses$8.5M6.3%
- Individuals$37,6780.0%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 170reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.2M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 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 |
|---|---|---|---|---|
| E••••• T•••• M•••••••• | Santa Monica, Ca | Apr 19, 2026 | 13 y | 6 |
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
- E••••• T•••• M•••••••• from V•••••• C•••••• L••Nov 1, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• E•••••• T•••• · Founder, Chief Executive Officer, Chief Investment Officer And Chief Compliance Officercontrolsince 11/2022 · 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
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-05-06, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 31, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-05-06, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 151 to 170May 6, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4May 6, 2025 to Mar 31, 2026
- Assets in custody · $37.8M to $44.2MMay 6, 2025 to Mar 31, 2026
- Other offices · 0 to 1May 6, 2025 to Mar 31, 2026
- Private funds · unset to 1May 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $43.5M to $56.4MMay 6, 2025 to Mar 31, 2026
- HNW RAUM · $111M to $127MMay 6, 2025 to Mar 31, 2026
- Individual RAUM · $32,716 to $37,678May 6, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $71.0M to $78.8MMay 6, 2025 to Mar 31, 2026
- RAUM · $115M to $135MMay 6, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 11-25Mar 31, 2025 to May 6, 2025
- Accounts · 162 to 151Mar 30, 2024 to Mar 31, 2025
- HNW clients · 11 to 13Mar 30, 2024 to Mar 31, 2025
- Assets in custody · $37.4M to $37.8MMar 30, 2024 to Mar 31, 2025
- Employees · 1 to 2Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $50.6M to $43.5MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $116M to $111MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $922,883 to $32,716Mar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $69.5M to $71.0MMar 30, 2024 to Mar 31, 2025
- RAUM · $120M to $115MMar 30, 2024 to Mar 31, 2025
- Accounts · 150 to 162Mar 31, 2023 to Mar 30, 2024
- Advisory activities · 2 to 3Mar 31, 2023 to Mar 30, 2024
- Assets in custody · unset to 37383778.0Mar 31, 2023 to Mar 30, 2024
- Custody of client assets · false to trueMar 31, 2023 to Mar 30, 2024
- Employees · 2 to 1Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $49.3M to $50.6MMar 31, 2023 to Mar 30, 2024
- HNW RAUM · $107M to $116MMar 31, 2023 to Mar 30, 2024
- Individual RAUM · $753,081 to $922,883Mar 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $62.3M to $69.5MMar 31, 2023 to Mar 30, 2024
- RAUM · $112M to $120MMar 31, 2023 to Mar 30, 2024
- Accounts · 162 to 150Feb 9, 2023 to Mar 31, 2023
- Discretionary RAUM · $49.8M to $49.3MFeb 9, 2023 to Mar 31, 2023
- HNW RAUM · $108M to $107MFeb 9, 2023 to Mar 31, 2023
- Individual RAUM · $725,947 to $753,081Feb 9, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $62.6M to $62.3MFeb 9, 2023 to Mar 31, 2023
- RAUM · $112M to $112MFeb 9, 2023 to Mar 31, 2023
- Accounts · 0 to 162Nov 7, 2022 to Feb 9, 2023
- HNW clients · unset to 11.0Nov 7, 2022 to Feb 9, 2023
- Employees · 1 to 2Nov 7, 2022 to Feb 9, 2023
- Discretionary RAUM · $0 to $49.8MNov 7, 2022 to Feb 9, 2023
Signals
1 dated events
- L•••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 8, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••• C•••••• L•• · Family Officesshared crd · office
- L•••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- L•••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- l•••••••.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424-625-2065reportedpublic record, Form ADV, Mar 31, 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026