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•• W••••• M••••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Aug 19, 2025 · 5 filings
SEC status approved since Aug 26, 2025
RAUM
$37.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$37.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$37.3M
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
5 filings and snapshots on the tape
RAUM$37.3M as of Aug 27, 2026
Aug 19, 2025$0 then
HNW client RAUM$18.0M as of Aug 27, 2026
Aug 19, 2025$0 then
State-registered IARs (5.B.3)1 as of Aug 27, 2026
Aug 19, 20251 then
Employees (5.A)1 as of Aug 27, 2026
Aug 19, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 27, 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
- $37.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $252,299derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$19.2M51%
- High-net-worth individuals$18.0M48%
- Corporations and businesses$150,0940.4%
- Individual clients
- 66reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 148reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C• L•• | Staten Island, Ny | Nov 7, 2025 | 37 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• C• L•• from O•••• A••••••• S•••••••• L••Nov 7, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••••• C• · Managing Member & Chief Compliance Officercontrolsince 07/2025 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 27, 2026financial planning (Item 5.G.1): yes on the filing of 2026-03-26, no on the filing of 2026-08-27peers: independent wealth managers, under $100M (704)
- compensation changedChange between filings · filing Aug 27, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-03-26, no on the filing of 2026-08-27peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 135 to 148Mar 26, 2026 to Aug 27, 2026
- Advisory activities · 2 to 1Mar 26, 2026 to Aug 27, 2026
- HNW clients · 10 to 12Mar 26, 2026 to Aug 27, 2026
- Individual clients · 93 to 66Mar 26, 2026 to Aug 27, 2026
- Financial planning clients · 0 to Mar 26, 2026 to Aug 27, 2026
- Discretionary RAUM · $33.0M to $37.3MMar 26, 2026 to Aug 27, 2026
- HNW RAUM · $15.6M to $18.0MMar 26, 2026 to Aug 27, 2026
- Individual RAUM · $17.3M to $19.2MMar 26, 2026 to Aug 27, 2026
- RAUM · $33.0M to $37.3MMar 26, 2026 to Aug 27, 2026
- Accounts · 0 to 135Dec 26, 2025 to Mar 26, 2026
- Corporate clients · 0 to 1Dec 26, 2025 to Mar 26, 2026
- HNW clients · 0 to 10Dec 26, 2025 to Mar 26, 2026
- Individual clients · 0 to 93Dec 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $0 to $33.0MDec 26, 2025 to Mar 26, 2026
- HNW RAUM · $0 to $15.6MDec 26, 2025 to Mar 26, 2026
- Individual RAUM · $0 to $17.3MDec 26, 2025 to Mar 26, 2026
- RAUM · $0 to $33.0MDec 26, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Aug 19, 2025 to Nov 7, 2025
Signals
No event on the tape.
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 email
- jim@leowealthmgmt.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 201-951-6828reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- leowealthmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-951-6828reportedpublic record, Form ADV, Aug 27, 2026
- Contact form
- leowealthmgmt.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- leowealthmgmt.com/bioreportedpublished by the firm, firm site, Sep 16, 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
- $37.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026