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
C•••••••• • C• L••
Latest filing Aug 23, 2026
First filing on the tape Apr 20, 2026 · 4 filings
SEC status approved since May 12, 2026
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
42%
$50.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$120M as of Aug 23, 2026
Apr 20, 2026$0 then
HNW client RAUM: $50.1M
State-registered IARs (5.B.3)1 as of Aug 23, 2026
Apr 20, 20260 then
Employees (5.A)2 as of Aug 23, 2026
Apr 20, 20262 then
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$58.9M49%
- High-net-worth individuals$50.1M42%
- Charitable organizations$11.4M9.4%
- Individual clients
- 0reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 54reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.42 fund_share=0.49 institutional_share=0.09 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•••• S•••• L•• J• | Jackson, Wy | Jun 12, 2026 | 21 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•• J•• L••••• S•••• · Member, Manager, Chief Compliance Officercontrolsince 12/2025 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 23, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-07-20, yes on the filing of 2026-08-23peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Aug 23, 2026advises private funds (Item 7.B): no on the filing of 2026-07-20, yes on the filing of 2026-08-23peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Aug 23, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-07-20, yes on the filing of 2026-08-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 54Jul 20, 2026 to Aug 23, 2026
- Advisory activities · 2 to 3Jul 20, 2026 to Aug 23, 2026
- HNW clients · unset to 17.0Jul 20, 2026 to Aug 23, 2026
- Individual clients · unset to 0.0Jul 20, 2026 to Aug 23, 2026
- Pooled vehicle clients · unset to 2.0Jul 20, 2026 to Aug 23, 2026
- State-registered IARs · 0 to 1Jul 20, 2026 to Aug 23, 2026
- Private funds · unset to 2Jul 20, 2026 to Aug 23, 2026
- Discretionary RAUM · $0 to $120MJul 20, 2026 to Aug 23, 2026
- HNW RAUM · unset to 50070516.0Jul 20, 2026 to Aug 23, 2026
- Pooled vehicle RAUM · unset to 58864174.0Jul 20, 2026 to Aug 23, 2026
- RAUM · $0 to $120MJul 20, 2026 to Aug 23, 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
- Principal office phone
- 307-734-7141reportedpublic record, Form ADV, Aug 23, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026