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••••••• I••••••••• L••
Latest filing Aug 10, 2026
First filing on the tape Jul 30, 2024 · 11 filings
SEC status approved since Aug 29, 2024
RAUM
$356M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$320M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$59.3M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$356M as of Aug 10, 2026
Jan 3, 2025$140M then
HNW client RAUM$273M as of Aug 10, 2026
Jan 3, 2025$121M then
State-registered IARs (5.B.3)5 as of Aug 10, 2026
Jan 3, 20253 then
Employees (5.A)5 as of Aug 10, 2026
Jan 3, 20253 then
Private funds: no history
RAUM +103% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $59.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $449,495derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +103%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$273M77%
- Individuals$47.0M13%
- Corporations and businesses$25.0M7.0%
- Pension and profit-sharing plans$6.0M1.7%
- Charitable organizations$5.0M1.4%
- Individual clients
- 40reported
- HNW clients
- 230reported
- Pension plan clients
- 5reported
- Charitable clients
- 4reported
- Accounts
- 792reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• P• S••••Certified Financial Planner | Saratoga Springs, Ny | Aug 16, 2023 | 15 y | 1 |
| B•••• R•••••• S•••• | Saratoga Springs, Ny | Jul 11, 2024 | 18 y | 2 |
| M•••••• C••• H•••••• | Saratoga Springs, Ny | Jul 11, 2024 | 12 y | 0 |
| N••••••• C• R••••••• | Saratoga Springs, Ny | Sep 5, 2025 | 14 y | 3 |
| E••• J• W•••••• | Saratoga Springs, Ny | Sep 5, 2025 | 12 y | 0 |
| D•••• M•••••• C••••••• | Saratoga Springs, Ny | May 11, 2026 | 10 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
- N••••••• C• R••••••• from R•• C•••••• M••••••• L••Sep 5, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B••••• R•••••• · Managing Member/Investment Advisor Representativecontrolsince 05/2024 · owns 50% to 75%
- S••••• T•••••• P• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrolsince 07/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saratoga Springs, Ny | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 19, 2026accounts (Item 5.F.2.f) moved from 210.0 to 792.0 (+277.0%) between the annual amendments of 2025-02-27 and 2026-02-19; the peer median change was +5.0% (3687 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 100% percentile
- RAUM up 50 %Change between filings · filing Feb 19, 2026RAUM (Item 5.F) moved from $175,000,000 to $356,000,000 (+103.0%) between the annual amendments of 2025-02-27 and 2026-02-19; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 643 to 792Nov 18, 2025 to Feb 19, 2026
- HNW clients · 180 to 230Nov 18, 2025 to Feb 19, 2026
- Individual clients · 32 to 40Nov 18, 2025 to Feb 19, 2026
- Financial planning clients · 51-100 to 0Nov 18, 2025 to Feb 19, 2026
- Discretionary RAUM · $266M to $351MNov 18, 2025 to Feb 19, 2026
- HNW RAUM · $209M to $273MNov 18, 2025 to Feb 19, 2026
- Individual RAUM · $36.0M to $47.0MNov 18, 2025 to Feb 19, 2026
- RAUM · $271M to $356MNov 18, 2025 to Feb 19, 2026
- Accounts · 210 to 643Jul 15, 2025 to Nov 18, 2025
- Advisory employees · 3 to 5Jul 15, 2025 to Nov 18, 2025
- Business name · L••••••• W••••• A••••••• L•• to L••••••• I••••••••• L••Jul 15, 2025 to Nov 18, 2025
- Corporate clients · 3 to 12Jul 15, 2025 to Nov 18, 2025
- HNW clients · 190 to 180Jul 15, 2025 to Nov 18, 2025
- Individual clients · 12 to 32Jul 15, 2025 to Nov 18, 2025
- Pension plan clients · 1 to 5Jul 15, 2025 to Nov 18, 2025
- Employees · 3 to 5Jul 15, 2025 to Nov 18, 2025
- State-registered IARs · 3 to 5Jul 15, 2025 to Nov 18, 2025
- Legal name · L••••••• W••••• A••••••• L•• to L••••••• I••••••••• L••Jul 15, 2025 to Nov 18, 2025
- Discretionary RAUM · $173M to $266MJul 15, 2025 to Nov 18, 2025
- HNW RAUM · $158M to $209MJul 15, 2025 to Nov 18, 2025
- Individual RAUM · $2.0M to $36.0MJul 15, 2025 to Nov 18, 2025
- Non-discretionary RAUM · $2.0M to $5.0MJul 15, 2025 to Nov 18, 2025
- Pension RAUM · $1.0M to $6.0MJul 15, 2025 to Nov 18, 2025
- RAUM · $175M to $271MJul 15, 2025 to Nov 18, 2025
- Financial planning clients · 51-100 to 51-100Feb 27, 2025 to Jul 15, 2025
- Accounts · 352 to 210Jan 3, 2025 to Feb 27, 2025
- Corporate clients · 5 to 3Jan 3, 2025 to Feb 27, 2025
- HNW clients · 103 to 190Jan 3, 2025 to Feb 27, 2025
- Pension plan clients · unset to 1.0Jan 3, 2025 to Feb 27, 2025
- Financial planning clients · 0 to 51-100Jan 3, 2025 to Feb 27, 2025
- Discretionary RAUM · $138M to $173MJan 3, 2025 to Feb 27, 2025
- HNW RAUM · $121M to $158MJan 3, 2025 to Feb 27, 2025
- Individual RAUM · $5.0M to $2.0MJan 3, 2025 to Feb 27, 2025
- Pension RAUM · unset to 1000000.0Jan 3, 2025 to Feb 27, 2025
- RAUM · $140M to $175MJan 3, 2025 to Feb 27, 2025
- HQ city · unset to Oct 24, 2024 to Jan 3, 2025
- HQ state · unset to Oct 24, 2024 to Jan 3, 2025
- Accounts · 269 to 352Jul 30, 2024 to Oct 15, 2024
- Charity clients · 2 to 4Jul 30, 2024 to Oct 15, 2024
- Corporate clients · 3 to 5Jul 30, 2024 to Oct 15, 2024
Signals
1 dated events
- L••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 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
- Business phone
- 607-434-0742reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lifegoal-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- lifegoalinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 607-434-0742reportedpublic record, Form ADV, Aug 10, 2026
- Contact form
- lifegoalinvestments.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $59.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026