DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L•••••••• C•••••• M•••••••••
Legal name L•••••••• C•••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Oct 30, 2023 · 12 filings
SEC status approved since Apr 3, 2024
RAUM
$184M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
77%
$141M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$184M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$184M as of Mar 5, 2026
Mar 28, 2024$119M then
HNW client RAUM$125M as of Mar 5, 2026
Mar 28, 2024$87.7M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Mar 28, 20241 then
Employees (5.A)3 as of Mar 5, 2026
Mar 28, 20242 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 182derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $755,538derivedHNW RAUM over HNW clients
- Average account
- $725,022derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $117MreportedItem 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)
- 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$125M68%
- Pension and profit-sharing plans$42.7M23%
- Individuals$16.6M9.0%
- Corporations and businesses$217,1170.1%
- Individual clients
- 17reported
- HNW clients
- 165reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 254reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• A•• M•••••Certified Financial Planner | Thousand Oaks, Ca | Dec 1, 2023 | 29 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
- T•••• A•• M••••• from L•• F•••••••• L••Dec 1, 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
- M•••••• T••••• A•• · President, Wealth Manager, And Chief Compliance Officercontrolsince 08/2018 · owns 75% or more
- M•••••• P•••• J••••• · Membersince 08/2018 · owns 10% to 25%
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 · 177 to 254Nov 20, 2025 to Mar 5, 2026
- HNW clients · 158 to 165Nov 20, 2025 to Mar 5, 2026
- Individual clients · 14 to 17Nov 20, 2025 to Mar 5, 2026
- Discretionary RAUM · $151M to $173MNov 20, 2025 to Mar 5, 2026
- HNW RAUM · $111M to $125MNov 20, 2025 to Mar 5, 2026
- Individual RAUM · $14.8M to $16.6MNov 20, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $9.1M to $11.4MNov 20, 2025 to Mar 5, 2026
- Pension RAUM · $34.3M to $42.7MNov 20, 2025 to Mar 5, 2026
- RAUM · $160M to $184MNov 20, 2025 to Mar 5, 2026
- Accounts · 146 to 177Oct 17, 2024 to Mar 27, 2025
- HNW clients · 121 to 158Oct 17, 2024 to Mar 27, 2025
- Individual clients · 17 to 14Oct 17, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 11-25Oct 17, 2024 to Mar 27, 2025
- Discretionary RAUM · $111M to $151MOct 17, 2024 to Mar 27, 2025
- HNW RAUM · $87.7M to $111MOct 17, 2024 to Mar 27, 2025
- Individual RAUM · $7.3M to $14.8MOct 17, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $8.6M to $9.1MOct 17, 2024 to Mar 27, 2025
- Pension RAUM · $24.2M to $34.3MOct 17, 2024 to Mar 27, 2025
- RAUM · $119M to $160MOct 17, 2024 to Mar 27, 2025
- Employees · 2 to 3Jun 5, 2024 to Oct 17, 2024
- Accounts · 0 to 146Dec 1, 2023 to Mar 28, 2024
- Corporate clients · unset to 5.0Dec 1, 2023 to Mar 28, 2024
- HNW clients · unset to 121.0Dec 1, 2023 to Mar 28, 2024
- Individual clients · unset to 17.0Dec 1, 2023 to Mar 28, 2024
- Employees · 4 to 2Dec 1, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 11-25Dec 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $0 to $111MDec 1, 2023 to Mar 28, 2024
- HNW RAUM · unset to 87669875.0Dec 1, 2023 to Mar 28, 2024
- Individual RAUM · unset to 7300196.0Dec 1, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $8.6MDec 1, 2023 to Mar 28, 2024
- Pension RAUM · unset to 24188642.0Dec 1, 2023 to Mar 28, 2024
- RAUM · $0 to $119MDec 1, 2023 to Mar 28, 2024
Signals
1 dated events
- L•••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Oct 30, 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
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d••••••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r••••••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-917-6771reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 805-917-6771reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- l•••••••••.comreportedpublished 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
- $184Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026