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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Former SEC-registered adviser

L••••••••• F•••••••• P•••••••• L••

Former SEC-registered adviserOglesby, IllinoisCRD 333779SEC 801-131768websiteIAPD
Latest filing Mar 26, 2025
First filing on the tape Dec 6, 2024 · 3 filings
SEC status 120-day approval since Jan 7, 2025
RAUM
$39.8M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$39.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$13.3M
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
3 filings and snapshots on the tape
RAUM$39.8M as of Mar 26, 2025
Jan 7, 2025$0 then
HNW client RAUM$20.9M as of Mar 26, 2025
Jan 7, 2025$0 then
State-registered IARs (5.B.3)3 as of Mar 26, 2025
Jan 7, 20253 then
Employees (5.A)3 as of Mar 26, 2025
Jan 7, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
RAUM per advisor
$13.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$127,404derivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
3.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • 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$20.9M53%
  • Individuals$18.9M47%
Individual clients
100reported
HNW clients
18reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
312reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• B•••• B•••••Chartered Financial ConsultantOglesby, IlJan 7, 202512 y0
G•••••• J•••• V••••Chartered Financial ConsultantOglesby, IlJan 7, 202541 y1
J••• A• B••••••Oglesby, IlJan 22, 202511 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • V••••• G••••••• J•••• · Chief Compliance Officer And Chief Financial Officercontrol
      since 01/2025 · owns less than 5%
    Entity owners
    • L••• H•••••••• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Oglesby, Il · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 312
      Jan 7, 2025 to Mar 26, 2025
    • HNW clients · 0 to 18
      Jan 7, 2025 to Mar 26, 2025
    • Individual clients · 0 to 100
      Jan 7, 2025 to Mar 26, 2025
    • Discretionary RAUM · $0 to $38.6M
      Jan 7, 2025 to Mar 26, 2025
    • HNW RAUM · $0 to $20.9M
      Jan 7, 2025 to Mar 26, 2025
    • Individual RAUM · $0 to $18.9M
      Jan 7, 2025 to Mar 26, 2025
    • Non-discretionary RAUM · $0 to $1.1M
      Jan 7, 2025 to Mar 26, 2025
    • RAUM · $0 to $39.8M
      Jan 7, 2025 to Mar 26, 2025
    Signals
    2 dated events
    • L••••••••• F•••••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $39.8M)
      Aug 1, 2025 · Left the SEC roster · derived
    • L••••••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 6, 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
    Firm profile
    LINKEDIN.COM/COMPANY/L•••••••••-FINANCIAL-P•••••••reportedpublic record, Form ADV, Sep 19, 2026
    Website
    L•••••••••FP.COMreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $13.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026