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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
L•••••• F•••• L••
Latest filing Aug 25, 2026
First filing on the tape Jul 31, 2026 · 2 filings
SEC status approved since Jul 13, 2026
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$251M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.7M
derived; firm RAUM over IAPD count
Employees
9
5 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$251M as of Aug 25, 2026
Jul 31, 2026$0 then
HNW client RAUM: $238M
State-registered IARs (5.B.3)4 as of Aug 25, 2026
Jul 31, 20264 then
Employees (5.A)9 as of Aug 25, 2026
Jul 31, 202610 then
Private funds: no history
Practice profile
derived from the filing of Aug 25, 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
- RAUM per advisor
- $62.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $700,565derivedRAUM 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
- 4.0derived1 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 fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$238M95%
- Individuals$12.5M5.0%
- Individual clients
- 52reported
- HNW clients
- 146reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 358reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J••• M•••••••Certified Financial Planner | Boston, Ma | Jul 31, 2026 | 11 y | 0 |
| S•••• J••••• D•••••••Certified Financial Planner | Boston, Ma | Aug 24, 2026 | 13 y | 1 |
| G•••• W• P••••• | Boston, Ma | Aug 24, 2026 | 10 y | 2 |
| N••••••• A•••••• A•••••Certified Financial Planner | Boston, Ma | Aug 24, 2026 | 10 y | 0 |
| H••••••• J••••• C•••••• | Boston, Ma | Sep 18, 2026 | 10 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H••••••• J••••• C•••••• from N••••••••• M••••• I••••••••• S•••••••••Sep 18, 2026 · Other
- S•••• J••••• D••••••• from N••••••••• M••••• I••••••••• S•••••••••Aug 24, 2026 · Other
- G•••• W• P••••• from N••••••••• M••••• I••••••••• S•••••••••Aug 24, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••••• M••••• I••••••••• S•••••••••Nov 18, 2019 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• N•••••••• A•••••• · Chief Operating Officercontrolsince 06/2026 · owns less than 5%
- D•••••••• S••••• J••••• · Chief Executive Officercontrolsince 06/2026 · owns 25% to 50%
- M•••••••• D•••••• J••• · Membercontrolsince 07/2026 · owns less than 5%
- P•••••• G••••• W• · Presidentcontrolsince 06/2026 · owns 25% to 50%
- C•••• R••••••• L••••• · Chief Compliance Officersince 06/2026 · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Aug 25, 2026commissions (Item 5.E.5): no on the filing of 2026-07-31, yes on the filing of 2026-08-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 0 to 358Jul 31, 2026 to Aug 25, 2026
- Advisory employees · 4 to 5Jul 31, 2026 to Aug 25, 2026
- HNW clients · unset to 146.0Jul 31, 2026 to Aug 25, 2026
- Individual clients · unset to 52.0Jul 31, 2026 to Aug 25, 2026
- Commission compensation · false to trueJul 31, 2026 to Aug 25, 2026
- Employees · 10 to 9Jul 31, 2026 to Aug 25, 2026
- Financial planning clients · 0 to 51-100Jul 31, 2026 to Aug 25, 2026
- Discretionary RAUM · $0 to $251MJul 31, 2026 to Aug 25, 2026
- HNW RAUM · unset to 238262303.0Jul 31, 2026 to Aug 25, 2026
- Individual RAUM · unset to 12539941.0Jul 31, 2026 to Aug 25, 2026
- RAUM · $0 to $251MJul 31, 2026 to Aug 25, 2026
Signals
2 dated events
- H••••••• J••••• C•••••• registered as an investment adviser representative at L•••••• F•••• L••Sep 18, 2026 · Advisor registered · fact
- R•••••• L••••• C•••, registered through V•••• W••••• P•••••••• L•• (New York, NY), is a direct owner of L•••••• F•••• L••, an adviser first registered 2026-07-31; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filingJul 31, 2026 · Owner of a newly registered adviser · 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
- h••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- h•••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- i•••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-239-9340reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-239-9342reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-239-9344reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (617) 239-9340reportedpublic record, Form ADV, Aug 25, 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
- $62.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026