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••••• C••••••
Legal name L••••• C•••••• L••
Latest filing Aug 31, 2026
First filing on the tape Mar 17, 2026 · 4 filings
SEC status approved since Mar 9, 2026
RAUM
$97.9M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$97.9M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$10.9M
derived; firm RAUM over IAPD count
Employees
13
13 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$97.9M as of Aug 31, 2026
Mar 17, 2026$0 then
HNW client RAUM$37.7M as of Aug 31, 2026
Jul 8, 2026$37.7M then
State-registered IARs (5.B.3)13 as of Aug 31, 2026
Mar 17, 202613 then
Employees (5.A)13 as of Aug 31, 2026
Mar 17, 202613 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $9.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $278,086derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 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
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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$60.2M62%
- High-net-worth individuals$37.7M38%
- Individual clients
- 333reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 352reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=13.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• R••••• | Richardson, Tx | Mar 11, 2026 | 13 y | 0 |
| R••• T•••••Chartered Financial Consultant | Richardson, Tx | Mar 11, 2026 | 19 y | 2 |
| R••• W•••• W•••Certified Financial Planner | Richardson, Tx | Mar 11, 2026 | 15 y | 1 |
| M•••••• N••• B••• | Richardson, Tx | Mar 11, 2026 | 12 y | 1 |
| K••• M•••• L• S••• | Richardson, Tx | Mar 11, 2026 | 11 y | 1 |
| B••••••• N••••• C••••••• | Richardson, Tx | Mar 11, 2026 | 13 y | 1 |
| J••••• E•••••• | Richardson, Tx | Mar 11, 2026 | 12 y | 1 |
| B••••••• V•••••• L•••••• | Richardson, Tx | Mar 11, 2026 | 12 y | 1 |
| J•••••• P•••••• | Richardson, Tx | Mar 13, 2026 | 12 y | 1 |
| M•••••• R••••• B••••• | Richardson, Tx | Sep 16, 2026 | 12 y | 0 |
Advisor movement
0 left, 8 joined in 12 months
net +8 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•••••• P•••••• from E•••••••• A•••••••• L••Mar 13, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• W•••• W••• from E•••••••• A•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• T••••• from M•• I•••••••• S•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- K••• M•••• L• S••• from E•••••••• A•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- B••••••• N••••• C••••••• from E•••••••• A•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• E•••••• from E•••••••• A•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- B••••••• V•••••• L•••••• from E•••••••• A•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• N••• B••• from E•••••••• A•••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from E•••••••• A•••••••• L••Mar 9, 2026 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• R•••• W•••• · Ccocontrolsince 01/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richardson, Tx · principal | 10 | 10 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Legal name · L••••• C•••••• to L••••• C•••••• LLCJul 8, 2026 to Aug 31, 2026
- Accounts · 0 to 352Apr 30, 2026 to Jul 8, 2026
- HNW clients · unset to 19.0Apr 30, 2026 to Jul 8, 2026
- Individual clients · unset to 333.0Apr 30, 2026 to Jul 8, 2026
- Discretionary RAUM · $0 to $91.2MApr 30, 2026 to Jul 8, 2026
- HNW RAUM · unset to 37669279.0Apr 30, 2026 to Jul 8, 2026
- Individual RAUM · unset to 60216865.0Apr 30, 2026 to Jul 8, 2026
- Non-discretionary RAUM · $0 to $6.7MApr 30, 2026 to Jul 8, 2026
- RAUM · $0 to $97.9MApr 30, 2026 to Jul 8, 2026
Signals
2 dated events
- M•••••• R••••• B••••• registered as an investment adviser representative at L••••• C••••••Sep 16, 2026 · Advisor registered · fact
- 7 advisors left E•••••••• A•••••••• L•• (Dallas, TX) for L••••• C•••••• a day apartMar 9, 2026 · Team lift-out · 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
- Principal office phone
- 972-928-6196reportedpublic record, Form ADV, Aug 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
- $10.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026