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Former SEC-registered adviser

L••••••• F•••••••• G••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 334873SEC 801-132050websiteIAPD
Latest filing Jul 18, 2025
First filing on the tape Feb 27, 2025 · 4 filings
SEC status 120-day approval since Feb 27, 2025
RAUM
$11.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$11.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$5.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$11.3M as of Jul 18, 2025
Feb 27, 2025$0 then
HNW client RAUM$3.8M as of Jul 18, 2025
Feb 27, 2025$0 then
State-registered IARs (5.B.3)1 as of Jul 18, 2025
Feb 27, 20251 then
Employees (5.A)1 as of Jul 18, 2025
Feb 27, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 18, 2025; every figure names its basis
RAUM per advisor
$5.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$758,749derivedHNW RAUM over HNW clients
Average account
$85,948derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
Custody
$229,325, 4 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$7.6M67%
  • High-net-worth individuals$3.8M33%
Individual clients
66reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
132reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$229,325 for 4 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• E••• L•••••••Certified Financial PlannerSan Diego, CaFeb 27, 20259 y1
T•••• B••••San Diego, CaJan 5, 202612 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
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Diego, Ca · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 3 to 4
      Jun 16, 2025 to Jul 18, 2025
    • Accounts · 0 to 132
      Apr 22, 2025 to Jun 16, 2025
    • HNW clients · 0 to 5
      Apr 22, 2025 to Jun 16, 2025
    • Individual clients · 0 to 66
      Apr 22, 2025 to Jun 16, 2025
    • Assets in custody · unset to 229325.0
      Apr 22, 2025 to Jun 16, 2025
    • Custody of client assets · false to true
      Apr 22, 2025 to Jun 16, 2025
    • Discretionary RAUM · $0 to $11.3M
      Apr 22, 2025 to Jun 16, 2025
    • HNW RAUM · $0 to $3.8M
      Apr 22, 2025 to Jun 16, 2025
    • Individual RAUM · $0 to $7.6M
      Apr 22, 2025 to Jun 16, 2025
    • RAUM · $0 to $11.3M
      Apr 22, 2025 to Jun 16, 2025
    Signals
    1 dated events
    • L••••••• F•••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $11.3M)
      Sep 2, 2025 · Left the SEC roster · derived
    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
    L•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 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
    $5.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026