DFX Intelligence

RIA Intelligence

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SEC-registered adviser

L••••• B••••• W••••• L••

Other adviserCRD 328708SEC 801-129033IAPD

Latest filing Mar 11, 2026

First filing on the tape Oct 9, 2023 · 11 filings

SEC status approved since Nov 8, 2023

RAUM

$342M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

3.4%

$11.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$342M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$342M as of Mar 11, 2026

Mar 1, 2024$0 then

HNW client RAUM$11.5M as of Mar 11, 2026

Feb 26, 2025$2.5M then

State-registered IARs (5.B.3)1 as of Mar 11, 2026

Mar 1, 20241 then

Employees (5.A)1 as of Mar 11, 2026

Mar 1, 20241 then

Private funds: no history

RAUM +71% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 11, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $342MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 3derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.8MderivedHNW RAUM over HNW clients
Average account: $24.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: +71%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$331M97%
High-net-worth individuals$11.5M3.4%

Individual clients: 0reported
HNW clients: 3reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 14reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.03 fund_share=0.0 institutional_share=0.0 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
L•••• F••••••• A••••• G••••••	Miami Beach, Fl	Feb 18, 2026	16 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 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

L•••• F••••••• A••••• G•••••• from B••••• I•••••••••
Feb 18, 2026 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• G••••••• L••••• F••••••• · Ceo & Ccocontrol
since 08/2023 · owns 75% or more

Related persons

Schedule D 7.A

B••••• I•••••••••
investment advisernRAUM $199M

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Mar 11, 2026
discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: other advisers, $100M to $500M (212) · 0.0% percentile
RAUM up 50 %Change between filings · filing Mar 11, 2026
RAUM (Item 5.F) moved from $200,000,000 to $342,000,000 (+71.0%) between the annual amendments of 2025-03-20 and 2026-03-11; the peer median change was +8.0% (161 comparable advisers, 91.0th percentile of changes)
peers: other advisers, $100M to $500M (161) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

HNW RAUM · $10.0M to $11.5M
Nov 21, 2025 to Mar 11, 2026
Non-discretionary RAUM · $340M to $342M
Nov 21, 2025 to Mar 11, 2026
RAUM · $340M to $342M
Nov 21, 2025 to Mar 11, 2026
Charity clients · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
Corporate clients · 12 to 11
Mar 20, 2025 to Nov 21, 2025
HNW clients · 2 to 3
Mar 20, 2025 to Nov 21, 2025
Individual clients · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
Pension plan clients · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
Pooled vehicle clients · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
HNW RAUM · $2.5M to $10.0M
Mar 20, 2025 to Nov 21, 2025
Individual RAUM · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
Non-discretionary RAUM · $200M to $340M
Mar 20, 2025 to Nov 21, 2025
Pension RAUM · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
Pooled vehicle RAUM · unset to 0.0
Mar 20, 2025 to Nov 21, 2025
RAUM · $200M to $340M
Mar 20, 2025 to Nov 21, 2025
Accounts · 11 to 14
Feb 26, 2025 to Mar 20, 2025
Corporate clients · 9 to 12
Feb 26, 2025 to Mar 20, 2025
Financial planning clients · unset to
Feb 26, 2025 to Mar 20, 2025
Non-discretionary RAUM · $140M to $200M
Feb 26, 2025 to Mar 20, 2025
RAUM · $140M to $200M
Feb 26, 2025 to Mar 20, 2025
Related adviser · true to false
Feb 26, 2025 to Mar 20, 2025
HQ city · unset to
May 20, 2024 to Feb 26, 2025
HQ state · unset to
May 20, 2024 to Feb 26, 2025
Accounts · 0 to 11
Mar 1, 2024 to Mar 7, 2024
Corporate clients · unset to 9.0
Mar 1, 2024 to Mar 7, 2024
HNW clients · unset to 2.0
Mar 1, 2024 to Mar 7, 2024
HNW RAUM · unset to 2500000.0
Mar 1, 2024 to Mar 7, 2024
Non-discretionary RAUM · $0 to $140M
Mar 1, 2024 to Mar 7, 2024
RAUM · $0 to $140M
Mar 1, 2024 to Mar 7, 2024
Related adviser · false to true
Oct 9, 2023 to Nov 2, 2023

Signals

2 dated events

L••••• B••••• W••••• L•• reported RAUM $340.0M, up 70% from $200.0M (2025-03-20 to 2025-11-21)
Nov 21, 2025 · RAUM change · derived
L••••• B••••• W••••• L•• filed its initial SEC registration (Form ADV)
Oct 9, 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

Principal office phone: 408-464-3876reportedpublic record, Form ADV, Mar 11, 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $342Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026