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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Former SEC-registered adviser
L••• W•••• A•••••••• L••
Legal name L••• W•••• C••••••• L••
Latest filing Jan 21, 2025
First filing on the tape Sep 13, 2023 · 7 filings
SEC status approved since Feb 22, 2024
RAUM
$40.0M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
57%
$22.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.0M
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
7 filings and snapshots on the tape
RAUM$40.0M as of Jan 21, 2025
Feb 15, 2024$40.0M then
HNW client RAUM$5.8M as of Jan 21, 2025
Feb 15, 2024$5.8M then
State-registered IARs (5.B.3)1 as of Jan 21, 2025
Feb 15, 20241 then
Employees (5.A)1 as of Jan 21, 2025
Feb 15, 20241 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 21, 2025; every figure names its basis
- RAUM per advisor
- $20.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $585,000derivedHNW RAUM over HNW clients
- Average account
- $239,547derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $40.0M, 167 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$17.1M43%
- Individuals$17.0M43%
- High-net-worth individuals$5.8M15%
- Individual clients
- 75reported
- HNW clients
- 10reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 167reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.0M for 167 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• G••••• B••••••Certified Financial Planner | Sarasota, Fl | Oct 20, 2023 | 15 y | 1 |
| E••• K••••• | Sarasota, Fl | Jan 23, 2026 | 13 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
- D••••• G••••• B•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 20, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D•••••• G••••• · Founder And Chief Compliance Officercontrolsince 08/2023 · 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 |
|---|---|---|---|---|---|
| Sarasota, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · unset to Sep 26, 2024 to Jan 21, 2025
- HQ state · unset to Sep 26, 2024 to Jan 21, 2025
- Assets in custody · unset to 40004280.0Mar 7, 2024 to Sep 26, 2024
- Custody of client assets · false to trueMar 7, 2024 to Sep 26, 2024
- Accounts · 0 to 167Nov 30, 2023 to Feb 15, 2024
- Advisory activities · 3 to 4Nov 30, 2023 to Feb 15, 2024
- Business name · L••• W•••• C•••••• to L••• W•••• A•••••••• L••Nov 30, 2023 to Feb 15, 2024
- HNW clients · unset to 10.0Nov 30, 2023 to Feb 15, 2024
- Individual clients · unset to 75.0Nov 30, 2023 to Feb 15, 2024
- Pension plan clients · unset to 17.0Nov 30, 2023 to Feb 15, 2024
- Financial planning clients · 0 to 26-50Nov 30, 2023 to Feb 15, 2024
- State-registered IARs · 0 to 1Nov 30, 2023 to Feb 15, 2024
- Discretionary RAUM · $0 to $22.9MNov 30, 2023 to Feb 15, 2024
- HNW RAUM · unset to 5850000.0Nov 30, 2023 to Feb 15, 2024
- Individual RAUM · unset to 17045000.0Nov 30, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $0 to $17.1MNov 30, 2023 to Feb 15, 2024
- Pension RAUM · unset to 17109280.0Nov 30, 2023 to Feb 15, 2024
- RAUM · $0 to $40.0MNov 30, 2023 to Feb 15, 2024
Signals
2 dated events
- L••• W•••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $40.0M)Mar 6, 2025 · Left the SEC roster · derived
- L••• W•••• C•••••• filed its initial SEC registration (Form ADV)Sep 13, 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
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026