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•••• F•••••••• A•••••••
Legal name L•••• F•••••••• A•••••••• I••
Latest filing Aug 24, 2026
First filing on the tape Jun 11, 2026 · 2 filings
SEC status approved since Jul 13, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$113M as of Aug 24, 2026
Jun 11, 2026$109M then
HNW client RAUM$67.1M as of Aug 24, 2026
Jun 11, 2026$9.0M then
State-registered IARs (5.B.3)0 as of Aug 24, 2026
Jun 11, 20260 then
Employees (5.A)3 as of Aug 24, 2026
Jun 11, 20263 then
Private funds: no history
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $255,395derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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, portfolio management for businesses and institutions, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$67.1M59%
- Individuals$40.2M36%
- Pension and profit-sharing plans$5.6M5.0%
- Individual clients
- 113reported
- HNW clients
- n/areported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 442reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| M•••••• S•••• L•••• | Roseville, Ca | Sep 18, 2026 | 24 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 days0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• S•••• L•••• from F••••••Sep 18, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• M••••••• S•••• · Principalcontrolsince 01/2005 · owns 75% or more
- C•••••• M•••••• S•••• · Chief Compliance Officer And Operations Managersince 08/2026 · owns 5% to 10%
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
- affiliate changedChange between filings · filing Aug 24, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-06-11, yes on the filing of 2026-08-24peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 22 to 442Jun 11, 2026 to Aug 24, 2026
- Business name · L•••• F•••••••• A•••••••• I•• to L•••• F•••••••• A•••••••Jun 11, 2026 to Aug 24, 2026
- Discretionary RAUM · $0 to $113MJun 11, 2026 to Aug 24, 2026
- HNW RAUM · $9.0M to $67.1MJun 11, 2026 to Aug 24, 2026
- Individual RAUM · $93.9M to $40.2MJun 11, 2026 to Aug 24, 2026
- Non-discretionary RAUM · $109M to $0Jun 11, 2026 to Aug 24, 2026
- Pension RAUM · $5.6M to $5.6MJun 11, 2026 to Aug 24, 2026
- RAUM · $109M to $113MJun 11, 2026 to Aug 24, 2026
- Related insurance company · false to trueJun 11, 2026 to Aug 24, 2026
Signals
1 dated events
- M•••••• S•••• L•••• registered as an investment adviser representative at L•••• F•••••••• A•••••••Sep 18, 2026 · Advisor registered · fact
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
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-772-3103reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-772-3104reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L••••FINANCIALADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 916-772-3103reportedpublic record, Form ADV, Aug 24, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026