DFX Intelligence

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L••••••••• I•••••••••

Other adviserSEC-registered· Dieppe, New Brunswickwebsite

Other adviser, based in Dieppe, New Brunswick, reporting $2.3B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $2.3B
Advisors: 0
RAUM change, last fiscal year: +27%
Private clients: 2.5% of RAUM, $57.0M

Advisors Advisor movement Where the RAUM sits

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +27% over the last fiscal year, to $2.3B.
2026-03-20
RAUM a year earlier $1.8BRAUM now $2.3B
individual and HNW clients (Item 5.D) moved from 108.0 to 182.0 (+69.0%) between the annual amendments of 2025-02-03 and 2026-03-20; the peer median change was 0.0% (37 comparable advisers, 97.0th percentile of changes)
2026-03-20
individual and HNW clients (Item 5.D) 182Peer median 0
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 329547 · SEC 801-131894 · 4 filingsShow

CRD 329547SEC 801-131894Legal name L•• P••••••••• L••••••••• I••• L••••••••• I••••••••• I•••First filing on the tape Jan 2, 2025, latest Mar 20, 2026SEC status approved since Jan 31, 2025IAPD

RAUM

$2.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

2.5%

$57.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$2.3B as of Mar 20, 2026

Jan 2, 2025$1.8B then

HNW client RAUM$29.9M as of Mar 20, 2026

Jan 2, 2025$20.8M then

State-registered IARs (5.B.3)0 as of Mar 20, 2026

Jan 2, 20250 then

Employees (5.A)28 as of Mar 20, 2026

Jan 2, 202529 then

Private funds: no history

RAUM +27% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 20, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year: +27%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +69%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
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

Pooled investment vehicles$917M40%
State and municipal entities$511M22%
Insurance companies$491M21%
Corporations and businesses$177M7.7%
Pension and profit-sharing plans$129M5.6%
High-net-worth individuals$29.9M1.3%
Individuals$27.1M1.2%
Charitable organizations$26.7M1.2%

Individual clients: 164reported
HNW clients: 18reported
Pension plan clients: 11reported
Charitable clients: 7reported
Accounts: 2,128reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.02 fund_share=0.4 institutional_share=0.5 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••••• D••••• G••••• · Chief Compliance Officercontrol
since 01/2026 · owns less than 5%
G•••••• L••• J••••• · President And Ceocontrol
since 01/2007 · owns less than 5%
H•••••••• H••••••• L••••••• · Vice President - Fixed Incomecontrol
since 03/2009 · owns less than 5%
L••••• S••••• G•••••• · Vice President - Private Wealthcontrol
since 09/2014 · owns less than 5%
R••• M••••••• R••• · Vice President - Equitiescontrol
since 04/2006 · owns less than 5%

Entity owners

6••••• N• I••• · Owner
direct · owns 25% to 50%
A••••••• H••••••• •••• L••••••• · Owner
direct · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

client count surgeChange between filings · filing Mar 20, 2026
individual and HNW clients (Item 5.D) moved from 108.0 to 182.0 (+69.0%) between the annual amendments of 2025-02-03 and 2026-03-20; the peer median change was 0.0% (37 comparable advisers, 97.0th percentile of changes)
peers: other advisers, $1B to $5B (37) · 97% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,823 to 2,128
May 5, 2025 to Mar 20, 2026
Advisory employees · 12 to 14
May 5, 2025 to Mar 20, 2026
Corporate clients · 31 to 37
May 5, 2025 to Mar 20, 2026
HNW clients · 9 to 18
May 5, 2025 to Mar 20, 2026
Individual clients · 99 to 164
May 5, 2025 to Mar 20, 2026

Full history · 14 changes

Pension plan clients · 12 to 11
May 5, 2025 to Mar 20, 2026
Employees · 29 to 28
May 5, 2025 to Mar 20, 2026
Discretionary RAUM · $1.8B to $2.3B
May 5, 2025 to Mar 20, 2026
HNW RAUM · $20.8M to $29.9M
May 5, 2025 to Mar 20, 2026
Individual RAUM · $15.8M to $27.1M
May 5, 2025 to Mar 20, 2026
Pension RAUM · $97.8M to $129M
May 5, 2025 to Mar 20, 2026
Pooled vehicle RAUM · $731M to $917M
May 5, 2025 to Mar 20, 2026
RAUM · $1.8B to $2.3B
May 5, 2025 to Mar 20, 2026
Financial planning clients · 26-50 to 26-50
Feb 3, 2025 to May 5, 2025

Signals

4 dated events

••• Locked
Mar 20, 2026 · RAUM change · derived
••• Locked
Mar 20, 2026 · ria principal change · fact
••• Locked
Mar 20, 2026 · Control person joined · fact
••• Locked
Jan 2, 2025 · ria registration change · 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: ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 20, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.