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••• A••••• P•••••• C••••• A•••••• L••
Latest filing Dec 24, 2025
First filing on the tape Aug 19, 2024 · 6 filings
SEC status approved since Sep 18, 2024
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
821
191 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.3B as of Dec 24, 2025
Feb 5, 2025$320M then
HNW client RAUM$0 as of Dec 24, 2025
Feb 5, 2025$0 then
State-registered IARs (5.B.3)214 as of Dec 24, 2025
Feb 5, 202530 then
Employees (5.A)821 as of Dec 24, 2025
Feb 5, 2025789 then
Private funds1 as of Dec 24, 2025
Mar 26, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 24, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $6.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $428MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.8derivedItem 5.A over advisors
- Advisors per office
- 214.0derived1 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $46.6M, 1 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$46.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=286.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• D••••••• B•••• · Chief Executive Officercontrolsince 06/2024 · owns less than 5%
- F•••••• A•••••• L• · Chief Financial Officersince 06/2024 · owns less than 5%
- P••••••••• M•••• A•• · Global Chief Compliance Officersince 06/2024 · owns less than 5%
- S•••••• R•••••••• A••••• · Chief Legal Officersince 06/2024 · owns less than 5%
Entity owners
- L•••• A••••• • C•• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••• A••••• •••••••• L••••••investment advisern
- L••• A••••• ••• L•••investment advisern
- L••• A••••• A••• L••investment advisern
- L••• A••••• D••••••••• L••broker-dealern
- L•••• A••••• • C•• L••investment adviseryRAUM $270B
Advisers that list L••• A••••• P•••••• C••••• A•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 3Sep 12, 2025 to Dec 24, 2025
- Advisory employees · 188 to 191Sep 12, 2025 to Dec 24, 2025
- BD registered reps · 302 to 286Sep 12, 2025 to Dec 24, 2025
- Assets in custody · $253M to $46.6MSep 12, 2025 to Dec 24, 2025
- Employees · 789 to 821Sep 12, 2025 to Dec 24, 2025
- Insurance-licensed employees · 220 to 214Sep 12, 2025 to Dec 24, 2025
- State-registered IARs · 220 to 214Sep 12, 2025 to Dec 24, 2025
- Discretionary RAUM · $845M to $1.3BSep 12, 2025 to Dec 24, 2025
- Pooled vehicle RAUM · $253M to $46.6MSep 12, 2025 to Dec 24, 2025
- RAUM · $845M to $1.3BSep 12, 2025 to Dec 24, 2025
- Accounts · 1 to 2Feb 5, 2025 to Mar 26, 2025
- Advisory activities · 1 to 2Feb 5, 2025 to Mar 26, 2025
- Pooled vehicle clients · unset to 1.0Feb 5, 2025 to Mar 26, 2025
- Assets in custody · unset to 252763000.0Feb 5, 2025 to Mar 26, 2025
- Custody of client assets · false to trueFeb 5, 2025 to Mar 26, 2025
- Insurance-licensed employees · 30 to 220Feb 5, 2025 to Mar 26, 2025
- Financial planning clients · unset to Feb 5, 2025 to Mar 26, 2025
- State-registered IARs · 30 to 220Feb 5, 2025 to Mar 26, 2025
- Private funds · unset to 1Feb 5, 2025 to Mar 26, 2025
- Discretionary RAUM · $320M to $845MFeb 5, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · $0 to $253MFeb 5, 2025 to Mar 26, 2025
- RAUM · $320M to $845MFeb 5, 2025 to Mar 26, 2025
- Accounts · unset to 1.0Nov 27, 2024 to Feb 5, 2025
- Advisory employees · 264 to 188Nov 27, 2024 to Feb 5, 2025
- BD registered reps · 292 to 302Nov 27, 2024 to Feb 5, 2025
- Assets in custody · 38000000.0 to unsetNov 27, 2024 to Feb 5, 2025
- Custody of client assets · true to falseNov 27, 2024 to Feb 5, 2025
- Employees · 748 to 789Nov 27, 2024 to Feb 5, 2025
- Insurance-licensed employees · 0 to 30Nov 27, 2024 to Feb 5, 2025
- State-registered IARs · 187 to 30Nov 27, 2024 to Feb 5, 2025
- Discretionary RAUM · unset to 320242000.0Nov 27, 2024 to Feb 5, 2025
- Non-discretionary RAUM · unset to 0.0Nov 27, 2024 to Feb 5, 2025
- RAUM · unset to 320242000.0Nov 27, 2024 to Feb 5, 2025
- Related bank · false to trueNov 27, 2024 to Feb 5, 2025
- Assets in custody · unset to 38000000.0Aug 19, 2024 to Nov 27, 2024
- Custody of client assets · false to trueAug 19, 2024 to Nov 27, 2024
Signals
5 dated events
- L••• A••••• P•••••• C••••• A•••••• L•• reported RAUM $1.3B, up 52% from $844.7M (2025-09-12 to 2025-12-24)Dec 24, 2025 · RAUM change · derived
- L••• A••••• P•••••• C••••• A•••••• L•• reported RAUM $844.7M, up 164% from $320.2M (2025-02-05 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- L••• A••••• P•••••• C••••• A•••••• L•• reported 220 state-registered advisory representatives, up from 30 (2025-02-05 to 2025-03-26)Mar 26, 2025 · ria a•••••• headcount change · derived
- L••• A••••• P•••••• C••••• A•••••• L•• reported 30 state-registered advisory representatives, down from 187 (2024-11-27 to 2025-02-05)Feb 5, 2025 · ria a•••••• headcount change · derived
- L••• A••••• P•••••• C••••• A•••••• L•• filed its initial SEC registration (Form ADV)Aug 19, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••• A••••• P•••••• C••••• A•••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-827-2000reportedpublic record, Form ADV, Dec 24, 2025
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026