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•• O••• C•••••• W••••• L••
Latest filing Aug 24, 2026
First filing on the tape Mar 23, 2026 · 3 filings
SEC status approved since Apr 22, 2026
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$59.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.7M
derived; firm RAUM over IAPD count
Employees
7
4 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$269M as of Aug 24, 2026
Mar 23, 2026$0 then
HNW client RAUM: $56.4M
State-registered IARs (5.B.3)3 as of Aug 24, 2026
Mar 23, 20263 then
Employees (5.A)7 as of Aug 24, 2026
Mar 23, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $89.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $5.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 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, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $269MreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$210M78%
- High-net-worth individuals$56.4M21%
- Individuals$2.9M1.1%
- Charitable organizations$122,5270.0%
- Individual clients
- 10reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 47reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• C••• D•••••• | Fort Lauderdale, Fl | Jul 23, 2026 | 13 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G•••••• C••• D•••••• from L•• O••• C•••••• A•••••••• L••Jul 23, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• N••••••• · Chief Operating Officer And Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
- T•••••• P•••• C••••• · President And Ciocontrolsince 02/2026 · owns less than 5%
Entity owners
- L•• O••• C•••••• H•••••••• L•• · Managing Memberdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 47Jul 22, 2026 to Aug 24, 2026
- Advisory employees · 6 to 4Jul 22, 2026 to Aug 24, 2026
- Charity clients · unset to 1.0Jul 22, 2026 to Aug 24, 2026
- Corporate clients · unset to 4.0Jul 22, 2026 to Aug 24, 2026
- HNW clients · unset to 32.0Jul 22, 2026 to Aug 24, 2026
- Individual clients · unset to 10.0Jul 22, 2026 to Aug 24, 2026
- Pension plan clients · unset to 0.0Jul 22, 2026 to Aug 24, 2026
- Pooled vehicle clients · unset to 0.0Jul 22, 2026 to Aug 24, 2026
- Insurance-licensed employees · 2 to 3Jul 22, 2026 to Aug 24, 2026
- Discretionary RAUM · $0 to $269MJul 22, 2026 to Aug 24, 2026
- HNW RAUM · unset to 56440670.0Jul 22, 2026 to Aug 24, 2026
- Individual RAUM · unset to 2912166.0Jul 22, 2026 to Aug 24, 2026
- Pension RAUM · unset to 0.0Jul 22, 2026 to Aug 24, 2026
- Pooled vehicle RAUM · unset to 0.0Jul 22, 2026 to Aug 24, 2026
- RAUM · $0 to $269MJul 22, 2026 to Aug 24, 2026
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
- s•••••••••@l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 954-247-8943reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 954-289-1378reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 954-289-2255reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/10090892reportedpublic record, Form ADV, Sep 18, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954 289 4692reportedpublic record, Form ADV, Aug 24, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $89.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026