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.

SEC-registered adviser

L•• I•••••••••

Independent wealth managerPalm Beach Gardens, FloridaCRD 323556SEC 801-127277websiteIAPD
Legal name L•• I••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Jan 3, 2023 · 24 filings
SEC status approved since Apr 12, 2024
RAUM
$2.8B
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
68%
$1.9B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
35
31 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.8B as of Feb 27, 2026
Jan 10, 2024$0 then
HNW client RAUM$1.8B as of Feb 27, 2026
Jan 10, 2024$0 then
State-registered IARs (5.B.3)24 as of Feb 27, 2026
Jan 10, 202412 then
Employees (5.A)35 as of Feb 27, 2026
Jan 10, 202417 then
Private funds: no history
RAUM +98% over the last fiscal yearIARs 28 to 24
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.5MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
68%derivedof RAUM
Institutional
32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
6.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+98%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+27%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$570MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.8B65%
  • Pension and profit-sharing plans$809M29%
  • Individuals$78.9M2.8%
  • State and municipal entities$73.1M2.6%
Individual clients
264reported
HNW clients
213reported
Pension plan clients
104reported
Charitable clients
0reported
Accounts
1,542reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=20.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• M••••••••• F•••••••Palm Beach Gardens, FlApr 13, 202328 y2
H••••• A•• S••••Palm Beach Gardens, FlApr 20, 202310 y0
A•••••• A••••• N••••Palm Beach Gardens, FlJun 30, 202314 y0
A•••••• T••••• P•••Certified Financial PlannerPalm Beach Gardens, FlOct 9, 202335 y1
K•••••• S•••• A••••Certified Financial PlannerWest Hartford, Ct Apr 1, 202414 y1
N••••• J••• Y•••••Glastonbury, Ct Apr 3, 202440 y2
C••• J•••• P•••••••Chartered Financial ConsultantWest Hartford, Ct Apr 3, 202432 y0
B•••••• W••••••• Y•••••Palm Beach Gardens, Fl Apr 3, 202419 y2
D••• A•• L••••••West Hartford, Ct Apr 3, 202413 y1
A•••••••• S•••••• H•••••••Palm Beach Gardens, Fl Apr 4, 202417 y0
E••• M••••• K•••••West Hartford, Ct May 3, 202426 y3
E••••• J• S•••••••••Fort Lauderdale, Fl Jun 4, 202416 y3
E••• B••••••Newtown, Pa Jun 11, 202427 y2
T•••••• P•••••• M•••••••Chartered Financial ConsultantPalm Beach Gardens, Fl Nov 1, 202431 y0
M••••••• W•••• P•••••••Palm Beach Gardens, Fl Nov 1, 202410 y0
C••• M•••••• W••••Newtown, Pa Nov 1, 202413 y0
K•••• D•••• E••••••Newtown, Pa Nov 1, 202416 y0
K•••••• M•••••• D•••••Newtown, Pa Nov 1, 202414 y0
B•••• C••••• S••••••••Palm Beach Gardens, Fl Nov 1, 202413 y1
B••••••• H•••• H•••Chartered Financial ConsultantPalm Beach Gardens, Fl Nov 1, 202425 y0
G••• A••• C••••Chartered Financial ConsultantNewtown, Pa Nov 4, 202445 y3
J••• F•••••• M•••••••Palm Beach Gardens, Fl Nov 5, 202421 y4
E••• T••••• A••••••••Tucson, Az May 15, 202611 y0
A••••• V•••••• A•••••Newtown, Pa May 29, 202610 y0
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 headcount2 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••• A••••••• T••••• · Managing Partnercontrol
      since 09/2022 · owns 25% to 50%
    • P•••••••• C•••• J•••• · Managing Membercontrol
      since 09/2022 · owns 25% to 50%
    • S••••••• N••••• L••• · Managing Membercontrol
      since 09/2022 · owns 5% to 10%
    • S••••• H•••••• A•• · Chief Compliance Officercontrol
      since 09/2022 · owns less than 5%
    Entity owners
    • J•• L••• E••••• P•••••••• L•• · Managing Partner
      direct · owns 25% to 50%
    • S• I••••••••• S••••••• L•• · Managing Partner
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Palm Beach Gardens, Fl · principal2420
    Newtown, Pa1110
    West Hartford, Ct500
    Glastonbury, Ct200
    Offices
    Schedule D 1.F, the 25 largest
    • Newtown, PA15 employees
    • West Hartford, CT4 employees
    • Glastonbury, CT2 employees
    ADV anomalies
    4 against comparable advisers; where to look, not conclusions
    • control person changedChange between filings · filing Feb 27, 2026
      P•••••••• C•••• J•••• (MANAGING MEMBER) left Schedule A between the filings of 2023-01-03 and 2026-02-27
      peers: independent wealth managers, $1B to $5B (1,362)
    • control person changedChange between filings · filing Feb 27, 2026
      S••••••• N••••• L••• (MANAGING MEMBER) left Schedule A between the filings of 2023-01-03 and 2026-02-27
      peers: independent wealth managers, $1B to $5B (1,362)
    • control person changedChange between filings · filing Feb 27, 2026
      P•••• A••••••• T••••• (MANAGING PARTNER) left Schedule A between the filings of 2023-01-03 and 2026-02-27
      peers: independent wealth managers, $1B to $5B (1,362)
    • RAUM up 50 %Change between filings · filing Feb 27, 2026
      RAUM (Item 5.F) moved from $1,404,038,363 to $2,781,193,458 (+98.0%) between the annual amendments of 2025-03-11 and 2026-02-27; the peer median change was +17.0% (1298 comparable advisers, 98.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (1,298) · 98% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,295 to 1,542
      Nov 13, 2025 to Feb 27, 2026
    • Advisory employees · 29 to 31
      Nov 13, 2025 to Feb 27, 2026
    • BD registered reps · 26 to 20
      Nov 13, 2025 to Feb 27, 2026
    • HNW clients · 165 to 213
      Nov 13, 2025 to Feb 27, 2026
    • Individual clients · 212 to 264
      Nov 13, 2025 to Feb 27, 2026
    • Pension plan clients · 44 to 104
      Nov 13, 2025 to Feb 27, 2026
    • Employees · 37 to 35
      Nov 13, 2025 to Feb 27, 2026
    • Insurance-licensed employees · 12 to 0
      Nov 13, 2025 to Feb 27, 2026
    • State-registered IARs · 28 to 24
      Nov 13, 2025 to Feb 27, 2026
    • Discretionary RAUM · $1.1B to $1.9B
      Nov 13, 2025 to Feb 27, 2026
    • HNW RAUM · $1.1B to $1.8B
      Nov 13, 2025 to Feb 27, 2026
    • Individual RAUM · $59.9M to $78.9M
      Nov 13, 2025 to Feb 27, 2026
    • Non-discretionary RAUM · $272M to $891M
      Nov 13, 2025 to Feb 27, 2026
    • Pension RAUM · $208M to $809M
      Nov 13, 2025 to Feb 27, 2026
    • RAUM · $1.4B to $2.8B
      Nov 13, 2025 to Feb 27, 2026
    • Financial planning clients · 0 to 0
      Aug 15, 2025 to Nov 13, 2025
    • Accounts · 1,250 to 1,295
      Feb 13, 2025 to Mar 11, 2025
    • Pension plan clients · 0 to 44
      Feb 13, 2025 to Mar 11, 2025
    • Non-discretionary RAUM · $0 to $272M
      Feb 13, 2025 to Mar 11, 2025
    • Pension RAUM · $0 to $208M
      Feb 13, 2025 to Mar 11, 2025
    • RAUM · $1.1B to $1.4B
      Feb 13, 2025 to Mar 11, 2025
    • Accounts · 1,050 to 1,250
      Dec 9, 2024 to Feb 13, 2025
    • Advisory employees · 12 to 29
      Dec 9, 2024 to Feb 13, 2025
    • BD registered reps · 10 to 26
      Dec 9, 2024 to Feb 13, 2025
    • HNW clients · 156 to 165
      Dec 9, 2024 to Feb 13, 2025
    • Individual clients · 193 to 212
      Dec 9, 2024 to Feb 13, 2025
    • Employees · 17 to 37
      Dec 9, 2024 to Feb 13, 2025
    • Insurance-licensed employees · 10 to 12
      Dec 9, 2024 to Feb 13, 2025
    • State-registered IARs · 12 to 28
      Dec 9, 2024 to Feb 13, 2025
    • Discretionary RAUM · $933M to $1.1B
      Dec 9, 2024 to Feb 13, 2025
    • HNW RAUM · $883M to $1.1B
      Dec 9, 2024 to Feb 13, 2025
    • Individual RAUM · $49.6M to $59.9M
      Dec 9, 2024 to Feb 13, 2025
    • RAUM · $933M to $1.1B
      Dec 9, 2024 to Feb 13, 2025
    • Other offices · 1 to 3
      Jun 18, 2024 to Nov 25, 2024
    • Business name · L••••••• • R••••• to L•• I•••••••••
      Jun 17, 2024 to Jun 18, 2024
    • Accounts · 0 to 1,050
      Jan 10, 2024 to Apr 3, 2024
    • HNW clients · 0 to 156
      Jan 10, 2024 to Apr 3, 2024
    • Individual clients · 0 to 193
      Jan 10, 2024 to Apr 3, 2024
    • Discretionary RAUM · $0 to $933M
      Jan 10, 2024 to Apr 3, 2024
    • HNW RAUM · $0 to $883M
      Jan 10, 2024 to Apr 3, 2024
    Signals
    6 dated events
    • L•• I••••••••• reported RAUM $2.8B, up 98% from $1.4B (2025-11-13 to 2026-02-27)
      Feb 27, 2026 · RAUM change · derived
    • W•••• B••• A•••• left L•• I••••••••• for B•••••• A••••••• G•••• L•• (registered 2025-09-04)
      Jul 10, 2025 · Advisor changed firm · fact
    • S••••••• K• C•••••••• left L•• I••••••••• for M••••• S•••••• (registered 2025-08-01)
      Mar 18, 2025 · Advisor changed firm · fact
    • L•• I••••••••• reported 28 state-registered advisory representatives, up from 12 (2024-12-09 to 2025-02-13)
      Feb 13, 2025 · Advisor headcount change · derived
    • 2 advisors left M•••••• F•••••••• G••••• L•• (Glastonbury, CT) for L•• I••••••••• on the same day
      Mar 31, 2023 · Team lift-out · derived
    • L•• I••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 3, 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.
    How to reach
    public business contact points only, each with its source
    Business email
    has@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    mes@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    bmf@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    jlc@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    jmg@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    ksa@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    ldb@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    lsa@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    mla@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    nls@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    smy@linrip.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    aan@linrip.comreportedpublished by the firm, firm site, Sep 15, 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
    $116Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026