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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SEC-registered adviser
L••••• C••••••
Legal name L••••• C•••••• W••••• M••••••••• L••
Latest filing Aug 20, 2026
First filing on the tape Jul 1, 2024 · 8 filings
SEC status approved since Aug 7, 2024
RAUM
$273M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
99%
$272M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$91.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$273M as of Aug 20, 2026
Feb 18, 2025$194M then
HNW client RAUM$251M as of Aug 20, 2026
Feb 18, 2025$179M then
State-registered IARs (5.B.3)3 as of Aug 20, 2026
Feb 18, 20253 then
Employees (5.A)3 as of Aug 20, 2026
Feb 18, 20253 then
Private funds: no history
RAUM +41% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 20, 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
- $91.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $259,173derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $50.0M, 81 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
- 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$251M92%
- Individuals$21.0M7.7%
- Charitable organizations$1.7M0.6%
- Individual clients
- 136reported
- HNW clients
- 143reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,055reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 81 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• D••••• P••••••Certified Financial Planner | The Woodlands, Tx | Aug 7, 2024 | 19 y | 3 |
| M•••••• C•••••• H••••••Certified Financial Planner | The Woodlands, Tx | Aug 28, 2024 | 12 y | 3 |
| M••••• P•••••••Certified Financial Planner | The Woodlands, Tx | Aug 29, 2024 | 10 y | 1 |
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
- M••••• P••••••• from M••• S••••• F•••••••• S••••••••• L••Aug 29, 2024 · RIA to a newly registered adviser
- M•••••• C•••••• H•••••• from M••• S••••• F•••••••• S••••••••• L••Aug 28, 2024 · RIA to a newly registered adviser
- C•••••• D••••• P•••••• from M••• S••••• F•••••••• S••••••••• L••Aug 7, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••• S••••• F•••••••• S••••••••• L••Aug 28, 2024 · Newtown, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• M••••••• C•••••• · Membercontrolsince 11/2022 · owns 50% to 75%
- P••••••• C••••••• D••••• · Member And Chief Compliance Officercontrolsince 11/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Aug 20, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-03-24, yes on the filing of 2026-08-20peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $193,943,322 to $273,427,616 (+41.0%) between the annual amendments of 2025-04-01 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 741 to 1,055Oct 30, 2025 to Mar 24, 2026
- Advisory activities · 2 to 4Oct 30, 2025 to Mar 24, 2026
- Charity clients · 3 to 1Oct 30, 2025 to Mar 24, 2026
- Corporate clients · 8.0 to unsetOct 30, 2025 to Mar 24, 2026
- HNW clients · 125 to 143Oct 30, 2025 to Mar 24, 2026
- Individual clients · 99 to 136Oct 30, 2025 to Mar 24, 2026
- Assets in custody · unset to 50013221.0Oct 30, 2025 to Mar 24, 2026
- Custody of client assets · false to trueOct 30, 2025 to Mar 24, 2026
- Financial planning clients · to 0Oct 30, 2025 to Mar 24, 2026
- Discretionary RAUM · $194M to $257MOct 30, 2025 to Mar 24, 2026
- HNW RAUM · $179M to $251MOct 30, 2025 to Mar 24, 2026
- Individual RAUM · $10.3M to $21.0MOct 30, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $16.3MOct 30, 2025 to Mar 24, 2026
- RAUM · $194M to $273MOct 30, 2025 to Mar 24, 2026
- Financial planning clients · unset to Feb 18, 2025 to Apr 1, 2025
- Accounts · 690 to 741Dec 9, 2024 to Feb 18, 2025
- Charity clients · 1 to 3Dec 9, 2024 to Feb 18, 2025
- HNW clients · 117 to 125Dec 9, 2024 to Feb 18, 2025
- Individual clients · 102 to 99Dec 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $181M to $194MDec 9, 2024 to Feb 18, 2025
- HNW RAUM · $165M to $179MDec 9, 2024 to Feb 18, 2025
- Individual RAUM · $12.5M to $10.3MDec 9, 2024 to Feb 18, 2025
- RAUM · $181M to $194MDec 9, 2024 to Feb 18, 2025
- Accounts · 0 to 690Jul 1, 2024 to Sep 25, 2024
- Advisory employees · 1 to 3Jul 1, 2024 to Sep 25, 2024
- Advisory activities · 1 to 2Jul 1, 2024 to Sep 25, 2024
- BD registered reps · 0 to 1Jul 1, 2024 to Sep 25, 2024
- Charity clients · unset to 1.0Jul 1, 2024 to Sep 25, 2024
- Corporate clients · unset to 8.0Jul 1, 2024 to Sep 25, 2024
- HNW clients · unset to 117.0Jul 1, 2024 to Sep 25, 2024
- Individual clients · unset to 102.0Jul 1, 2024 to Sep 25, 2024
- Employees · 1 to 3Jul 1, 2024 to Sep 25, 2024
- State-registered IARs · 1 to 3Jul 1, 2024 to Sep 25, 2024
- Discretionary RAUM · $0 to $181MJul 1, 2024 to Sep 25, 2024
- HNW RAUM · unset to 164929456.0Jul 1, 2024 to Sep 25, 2024
- Individual RAUM · unset to 12505591.0Jul 1, 2024 to Sep 25, 2024
- RAUM · $0 to $181MJul 1, 2024 to Sep 25, 2024
- Related broker-dealer · false to trueJul 1, 2024 to Sep 25, 2024
Signals
2 dated events
- 2 advisors left M••• S••••• F•••••••• S••••••••• L•• (Newtown, PA) for L••••• C•••••• on the same dayAug 28, 2024 · Team lift-out · derived
- L••••• C•••••• filed its initial SEC registration (Form ADV)Jul 1, 2024 · 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 phone
- 281-595-1990reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 281-595-1997reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/leadalegacyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- lead-a-legacy.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (281) 595-1990reportedpublic record, Form ADV, Aug 20, 2026
- Team page
- lead-a-legacy.com/meet-the-teamreportedpublished by the firm, firm site, Sep 17, 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
- $91.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026