DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••••• R••• F••••• O••••••
Legal name L••••• R••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 8, 2025 · 3 filings
SEC status approved since Jul 28, 2025
RAUM
$117M
reported, Item 5.F
Discretionary
1.4%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$117M
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
3 filings and snapshots on the tape
RAUM$117M as of Mar 31, 2026
Jul 8, 2025$0 then
HNW client RAUM$117M as of Mar 31, 2026
Jul 8, 2025$0 then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jul 8, 20251 then
Employees (5.A)1 as of Mar 31, 2026
Jul 8, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $29.3MderivedHNW RAUM over HNW clients
- Average account
- $29.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.4%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $1.6M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- 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$117M100%
- Individual clients
- 0reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| L••••••• B••• R••••••• | Los Angeles, Ca | Aug 3, 2025 | 20 y | 2 |
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
- L••••••• B••• R••••••• from L••••• R••• L••Aug 3, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• L•••••••• B••• · Managing Member, Ceo & Ccocontrolsince 03/2011 · 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
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-24, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 12 to 4Nov 24, 2025 to Mar 31, 2026
- Assets in custody · unset to 1606412.0Nov 24, 2025 to Mar 31, 2026
- Custody of client assets · false to trueNov 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6M to $1.6MNov 24, 2025 to Mar 31, 2026
- HNW RAUM · $121M to $117MNov 24, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $120M to $116MNov 24, 2025 to Mar 31, 2026
- RAUM · $121M to $117MNov 24, 2025 to Mar 31, 2026
- Accounts · 0 to 12Jul 8, 2025 to Nov 24, 2025
- Advisory activities · 2 to 1Jul 8, 2025 to Nov 24, 2025
- Business name · L••••• R••• L•• to L••••• R••• F••••• O••••••Jul 8, 2025 to Nov 24, 2025
- HNW clients · 0 to 4Jul 8, 2025 to Nov 24, 2025
- Financial planning clients · 0 to 0Jul 8, 2025 to Nov 24, 2025
- Discretionary RAUM · $0 to $1.6MJul 8, 2025 to Nov 24, 2025
- HNW RAUM · $0 to $121MJul 8, 2025 to Nov 24, 2025
- Non-discretionary RAUM · $0 to $120MJul 8, 2025 to Nov 24, 2025
- RAUM · $0 to $121MJul 8, 2025 to Nov 24, 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
- Firm profile
- LINKEDIN.COM/COMPANY/L•••••R•••reportedpublic record, Form ADV, Sep 21, 2026
- Website
- L•••••R•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 917-626-1042reportedpublic record, Form ADV, Mar 31, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026