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••••• M•••••••••
Legal name L•••••• W••••• M••••••••• I•••
Latest filing Jul 12, 2024
First filing on the tape Sep 1, 2023 · 22 filings
RAUM
$61.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$61.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$61.8M
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
22 filings and snapshots on the tape
RAUM$61.8M as of Jul 12, 2024
Sep 1, 2023$0 then
HNW client RAUM$61.8M as of Jul 12, 2024
Mar 13, 2024$58.1M then
State-registered IARs (5.B.3)1 as of Jul 12, 2024
Sep 1, 20231 then
Employees (5.A)1 as of Jul 12, 2024
Sep 1, 20231 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 12, 2024; every figure names its basis
- RAUM per advisor
- $61.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $494,245derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$61.8M100%
- Individual clients
- n/areported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 125reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R• L•••••• | Sarasota, Fl | Oct 17, 2023 | 32 y | 4 |
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
- J•••••• R• L•••••• from N•••••• F•••••••• G••••• I•••Oct 17, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• J••••••• R• · Managing Member And Chief Compliance Officercontrolsince 05/2014 · 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.
What changed
consecutive filings, newest first
- Accounts · 134 to 125Jun 27, 2024 to Jul 12, 2024
- Charity clients · 1.0 to unsetJun 27, 2024 to Jul 12, 2024
- Individual clients · 31.0 to unsetJun 27, 2024 to Jul 12, 2024
- HNW RAUM · $53.2M to $61.8MJun 27, 2024 to Jul 12, 2024
- Individual RAUM · 15392592.0 to unsetJun 27, 2024 to Jul 12, 2024
- Non-discretionary RAUM · $8.7M to $0Jun 27, 2024 to Jul 12, 2024
- RAUM · $70.4M to $61.8MJun 27, 2024 to Jul 12, 2024
- Other offices · 1 to 0May 1, 2024 to May 17, 2024
- Assets in custody · unset to 0.0Mar 13, 2024 to Apr 3, 2024
- Custody of client assets · false to trueMar 13, 2024 to Apr 3, 2024
- Accounts · 0 to 61Oct 23, 2023 to Mar 13, 2024
- Charity clients · unset to 1.0Oct 23, 2023 to Mar 13, 2024
- HNW clients · unset to 29.0Oct 23, 2023 to Mar 13, 2024
- Individual clients · unset to 22.0Oct 23, 2023 to Mar 13, 2024
- Other offices · 0 to 1Oct 23, 2023 to Mar 13, 2024
- Discretionary RAUM · $0 to $64.7MOct 23, 2023 to Mar 13, 2024
- HNW RAUM · unset to 58059100.0Oct 23, 2023 to Mar 13, 2024
- Individual RAUM · unset to 11668200.0Oct 23, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $0 to $7.0MOct 23, 2023 to Mar 13, 2024
- RAUM · $0 to $71.7MOct 23, 2023 to Mar 13, 2024
- Wrap assets (manager) · 0.0 to unsetOct 23, 2023 to Mar 13, 2024
- Wrap assets (sponsor) · 0.0 to unsetOct 23, 2023 to Mar 13, 2024
- Accounts · 61 to 134Mar 13, 2024 to Mar 13, 2024
- HNW clients · 29 to 24Mar 13, 2024 to Mar 13, 2024
- Individual clients · 22 to 31Mar 13, 2024 to Mar 13, 2024
- Discretionary RAUM · $64.7M to $61.8MMar 13, 2024 to Mar 13, 2024
- HNW RAUM · $58.1M to $53.2MMar 13, 2024 to Mar 13, 2024
- Individual RAUM · $11.7M to $15.4MMar 13, 2024 to Mar 13, 2024
- Non-discretionary RAUM · $7.0M to $8.7MMar 13, 2024 to Mar 13, 2024
- RAUM · $71.7M to $70.4MMar 13, 2024 to Mar 13, 2024
Signals
1 dated events
- L•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 1, 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.
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
- $61.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026