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L••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

L••••• A•••••••• L••

CRD 292378

JEFFERSONVILLE, NY

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Search this name across graphsid dfx:ria:43d6a648-408c-9469-7f7c-930df1145d14

Data as of Jul 3, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2018 to Jul 3, 2023
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

L••••• A•••••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $271MItem 5.F on the latest filing (2023-07-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $271M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••• O••••••• D••••••••• H••••••• L••	Private Equity Fund	$51.9M	Jul 15, 2024	137	Mar 31, 2021	reported	n/a
L••••• P••••••• L•	Hedge Fund	$28.8M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• M••••••• A••••••	President	E	yes	02/2012	Mar 30, 2018	Jul 3, 2023
Y••• S••••• F•••	CHIEF COMPLIANCE OFFICER	Na	no	09/2018	Dec 7, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
Q••••••••• G•••• L••	n/a	Former SEC adviser	$185M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$271M	$296M	-8.4%	$48.6M	77.3%	2	4	0	0

Relationships

Advises (7)

→ L••••• O••••••• S••••• D••••••••• H••••••• L••Private fundPrivate Equity Fund, ERA
Mar 31, 2021 to presentfactForm ADV
→ L••••• O••••••• D••••••••• H••••••• L••Private fundPrivate Equity Fund, ERA
Mar 31, 2021 to presentfactForm ADV
→ L••••• T• P••••••• L••Private fundPrivate Equity Fund, ERA
Mar 31, 2022 to presentfactForm ADV
→ L••••• D••••••••• H••••••• L••

Dated events

Occurred
Mar 30, 2018
First Form ADV filing
L••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43d6a648-408c-9469-7f7c-930df1145d14
First observed: Mar 30, 2018
Last observed: Jul 3, 2023 39 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.