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••••••• F••••• O•••••
Legal name L••••••• I••••••••• P•••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Feb 2, 2023 · 10 filings
SEC status approved since Jul 12, 2023
RAUM
$428M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
93%
$400M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$428M as of Jul 23, 2026
Mar 28, 2024$207M then
HNW client RAUM$390M as of Jul 23, 2026
Mar 28, 2024$166M then
State-registered IARs (5.B.3)3 as of Jul 23, 2026
Mar 28, 20244 then
Employees (5.A)5 as of Jul 23, 2026
Mar 28, 20248 then
Private funds1 as of Jul 23, 2026
Mar 28, 20241 then
RAUM +31% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Jul 23, 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)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $19.5MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +63%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$390M91%
- Pooled investment vehicles$17.4M4.1%
- Corporations and businesses$10.4M2.4%
- Individuals$10.2M2.4%
- Individual clients
- 24reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 120reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.04 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J•••• S•••••• | Toronto | Apr 5, 2023 | 24 y | 1 |
| D•••••• J••• H••••• | Westport, Ct | Apr 5, 2023 | 34 y | 3 |
| T••••••• D••••• P•••••• | Westport, Ct | Apr 12, 2023 | 35 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- J••••• T••••• F••••• to F•••••••• P•••••••• L••Oct 21, 2025 · Other
Joined, latest
- D•••••• J••• H••••• from P••••• F•••••••• S•••••••• L••Apr 5, 2023 · RIA to a newly registered adviser
- J••••• T••••• F••••• from P••••• F•••••••• S•••••••• L••Apr 5, 2023 · RIA to a newly registered adviser
- K•••• J•••• S•••••• from P••••• F•••••••• S•••••••• L••Apr 5, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from P••••• F•••••••• S•••••••• L••Apr 25, 2023 · Westport, Ct · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• P••••••• F•••• L••• | Hedge Fund | $16.3M | 5 | Jul 6, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• D••••••• J••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
Entity owners
- L••••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Westport, Ct · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New Canaan, CT1 employees
- Toronto, Canada1 employees
- Westport, CT1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 9, 2026discretionary share of RAUM moved from 35.0% to 57.0% between the annual amendments of 2025-03-28 and 2026-04-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Organization form · Limited Liability Partnership to Limited Liability CompanyApr 9, 2026 to Jul 23, 2026
- Accounts · 110 to 120Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 5 to 3Mar 28, 2025 to Mar 27, 2026
- Corporate clients · 8 to 5Mar 28, 2025 to Mar 27, 2026
- HNW clients · 11 to 20Mar 28, 2025 to Mar 27, 2026
- Individual clients · 16 to 24Mar 28, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 3Mar 28, 2025 to Mar 27, 2026
- Organization form · Limited Liability Company to Limited Liability PartnershipMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $113M to $246MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $277M to $390MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $15.9M to $10.2MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $213M to $182MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $18.1M to $17.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $326M to $428MMar 28, 2025 to Mar 27, 2026
- Accounts · 81 to 110Sep 26, 2024 to Mar 28, 2025
- Individual clients · 13 to 16Sep 26, 2024 to Mar 28, 2025
- Employees · 8 to 5Sep 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 26, 2024 to Mar 28, 2025
- Other offices · 6 to 4Sep 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $60.7M to $113MSep 26, 2024 to Mar 28, 2025
- HNW RAUM · $166M to $277MSep 26, 2024 to Mar 28, 2025
- Individual RAUM · $6.2M to $15.9MSep 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $147M to $213MSep 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $16.3M to $18.1MSep 26, 2024 to Mar 28, 2025
- RAUM · $207M to $326MSep 26, 2024 to Mar 28, 2025
- Business name · L••••••• I••••••••• P•••••••• L•• to L••••••• F••••• O•••••Mar 28, 2024 to Sep 26, 2024
- Other offices · 5 to 6Mar 28, 2024 to Sep 26, 2024
- Accounts · 53 to 81Dec 8, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Dec 8, 2023 to Mar 28, 2024
- Corporate clients · unset to 8.0Dec 8, 2023 to Mar 28, 2024
- HNW clients · 5 to 11Dec 8, 2023 to Mar 28, 2024
- Individual clients · 10 to 13Dec 8, 2023 to Mar 28, 2024
- Other offices · 1 to 5Dec 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $30.7M to $60.7MDec 8, 2023 to Mar 28, 2024
- HNW RAUM · $182M to $166MDec 8, 2023 to Mar 28, 2024
- Individual RAUM · $3.9M to $6.2MDec 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $177M to $147MDec 8, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $21.8M to $16.3MDec 8, 2023 to Mar 28, 2024
- RAUM · $208M to $207MDec 8, 2023 to Mar 28, 2024
- Accounts · 0 to 53Feb 22, 2023 to Jul 6, 2023
Signals
6 dated events
- L••••••• F••••• O••••• reported RAUM $428.2M, up 31% from $326.1M (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- J••••• T••••• F••••• left L••••••• F••••• O••••• for F•••••••• P•••••••• L•• (registered 2025-10-17)Oct 21, 2025 · Advisor changed firm · fact
- L••••••• F••••• O••••• reported RAUM $326.1M, up 57% from $207.4M (2024-09-26 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- James Kerry Stirton (Managing Partner & Chief Investment Officer) no longer on Schedule A of L••••••• F••••• O••••• (listed 2023-12-08, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- P••••• F•••••••• S•••••••• L••'s advisors moved to L••••••• F••••• O••••• (New Cannan, CT): 3 of 3 registered, on the same dayApr 25, 2023 · Firm absorbed (people side) · derived
- L••••••• I••••••••• P••••••• filed its initial SEC registration (Form ADV)Feb 2, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• F••••• O••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 203-209-2785reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-267-7184reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 214-683-6381reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- longwallfamilyoffice.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-209-2785reportedpublic record, Form ADV, Jul 23, 2026
- Contact form
- longwallfamilyoffice.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- longwallfamilyoffice.com/teamreportedpublished 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026