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

L3 CAPITAL ADVISORS LLC

CRD 287901

NEW YORK, NY

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Search this name across graphsid dfx:ria:480486c0-c687-3347-ab4f-1bcb8bf5e33d

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 1
On other graphs: 1
Observed: Mar 7, 2017 to Mar 30, 2020
5 observations

Across DFX

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

Private Equityidentity

L3 Capital Advisors LLC

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: $175MItem 5.F on the latest filing (2020-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.2M
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: 6
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 13
Private funds: 41Schedule D 7.B(1)
Private fund GAV: $173Mgross asset value as reported per fund; never fund size
Custody, client assets: $175M
SEC number: 801-110149
CRD: 287901
Filings on the tape: 5
First filed: Mar 7, 2017
Latest filed: Mar 30, 2020
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 41

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ADVANCED TECHNOLOGY SELECT FUND LLC - SERIES C	Private Equity Fund	$18.8M	Mar 30, 2020	78	Mar 30, 2016	reported	021-236868
MOGO INDUSTRIES LLC	Private Equity Fund	$13.2M	Mar 30, 2020	88	Oct 27, 2014	reported	021-201525
L3 CAPITAL INCOME FUND LLC	Private Equity Fund	$12.2M	Mar 30, 2020	25	Mar 30, 2020	reported	021-353008
L3 CUBED LLC - SERIES C	Private Equity Fund	$11.9M	Mar 30, 2020	81	Mar 7, 2017	reported	021-212449
ADVANCED TECHNOLOGY FUND LLC - SERIES C	Private Equity Fund	$10.9M	Mar 30, 2020	76	Mar 30, 2016	reported	021-219599
ADVANCED TECHNOLOGY SELECT FUND II LLC - SERIES B	Private Equity Fund	$8.9M	Mar 30, 2020	48	Mar 30, 2016	reported	021-245940
ADVANCED TECHNOLOGY SELECT FUND II LLC - SERIES A	Private Equity Fund	$8.2M	Mar 30, 2020	77	Mar 30, 2016	reported	021-245940
ADVANCED TECHNOLOGY SELECT FUND VII LLC - SERIES E	Private Equity Fund	$7.8M	Mar 30, 2020	70	Mar 29, 2019	reported	021-337250
ADVANCED TECHNOLOGY SELECT FUND LLC - SERIES A	Private Equity Fund	$7.1M	Mar 30, 2020	79	Apr 1, 2015	reported	021-236868
ADVANCED TECHNOLOGY FUND LLC - SERIES A	Private Equity Fund	$7.1M	Mar 30, 2020	67	Oct 27, 2014	reported	021-219599
L3 CUBED LLC - SERIES B	Private Equity Fund	$6.5M	Mar 30, 2020	71	Mar 7, 2017	reported	021-212449
ADVANCED TECHNOLOGY SELECT FUND VI LLC - SERIES A	Private Equity Fund	$5.6M	Mar 30, 2020	40	Mar 29, 2019	reported	021-331530
ADVANCED TECHNOLOGY SELECT FUND III LLC - SERIES B	Private Equity Fund	$5.3M	Mar 30, 2020	59	Mar 31, 2018	reported	021-285107
ADVANCED TECHNOLOGY SELECT FUND VI LLC - SERIES B	Private Equity Fund	$4.7M	Mar 30, 2020	58	Mar 29, 2019	reported	021-331530
ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES D	Private Equity Fund	$4.6M	Mar 30, 2020	39	Mar 31, 2018	reported	021-298646
ADVANCED TECHNOLOGY SELECT FUND III LLC - SERIES A	Private Equity Fund	$4.6M	Mar 30, 2020	64	Mar 31, 2018	reported	021-285107
ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES D	Private Equity Fund	$4.3M	Mar 30, 2020	60	Mar 30, 2020	reported	021-344582
ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES B	Private Equity Fund	$4.2M	Mar 30, 2020	50	Mar 31, 2018	reported	021-298646
ADVANCED TECHNOLOGY SELECT FUND V LLC - SERIES A	Private Equity Fund	$3.9M	Mar 30, 2020	41	Mar 31, 2018	reported	021-313974
ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES A	Private Equity Fund	$3.8M	Mar 30, 2020	52	Mar 30, 2020	reported	021-344582
ADVANCED TECHNOLOGY SELECT FUND V LLC - SERIES E	Private Equity Fund	$3.3M	Mar 30, 2020	38	Mar 29, 2019	reported	021-313974
ADVANCED TECHNOLOGY SELECT FUND VII LLC - SERIES A	Private Equity Fund	$2.9M	Mar 30, 2020	34	Mar 29, 2019	reported	021-337250
ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES A	Private Equity Fund	$2.8M	Mar 30, 2020	50	Mar 31, 2018	reported	021-298646
ADVANCED TECHNOLOGY SELECT FUND V LLC - SERIES B	Private Equity Fund	$2.8M	Mar 30, 2020	30	Mar 31, 2018	reported	021-313974
ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES E	Private Equity Fund	$2.7M	Mar 30, 2020	29	Mar 30, 2020	reported	021-344582

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
CARDINALE, RICHARD, ANTHONY	MANAGING MEMBER	E	yes	01/2015	Mar 7, 2017	Mar 30, 2020
MCKIE, PHILLIP	CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Mar 7, 2017	Mar 30, 2020

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	Private funds	Fund GAV
2019	Mar 30, 2020	$175M	$12.2M	6	6	41	$173M
2018	Mar 29, 2019	$170M	$0	2	1	34	$170M
2017	Mar 31, 2018	$139M	$0	2	1	24	$139M

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
2019	$175M	$170M	2.5%	n/a	n/a	6	2	0	0

Relationships

Advises (41)

→ ADVANCED TECHNOLOGY SELECT FUND VII LLC - SERIES EPrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES BPrivate fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND III LLC - SERIES BPrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND V LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VI LLC - SERIES BPrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND LLC - SERIES APrivate fundPrivate Equity Fund, IA
Apr 1, 2015 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VII LLC - SERIES CPrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES CPrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND LLC - SERIES CPrivate fundPrivate Equity Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VII LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ L3 CAPITAL SMALL CAP GOLD FUND LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VI LLC - SERIES CPrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES DPrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND V LLC - SERIES DPrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES EPrivate fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ L3 CUBED LLC - SERIES CPrivate fundPrivate Equity Fund, IA
Mar 7, 2017 to presentfactForm ADV
→ L3 CUBED LLC - SERIES DPrivate fundPrivate Equity Fund, IA
Mar 7, 2017 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND V LLC - SERIES BPrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND II LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES BPrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ L3 CAPITAL INCOME FUND LLCPrivate fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND III LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 31, 2018 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND LLC - SERIES EPrivate fundPrivate Equity Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VI LLC - SERIES APrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ MOGO INDUSTRIES LLCPrivate fundPrivate Equity Fund, IA
Oct 27, 2014 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND II LLC - SERIES CPrivate fundPrivate Equity Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VII LLC - SERIES BPrivate fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ ADVANCED TECHNOLOGY SELECT FUND VIII LLC - SERIES DPrivate fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
and 11 more

Controls (2)

← CARDINALE, RICHARD, ANTHONYOwnerMANAGING MEMBER, ownership code E, individual
Mar 7, 2017 to presentfactForm ADV
← MCKIE, PHILLIPOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 7, 2017 to presentfactForm ADV

Dated events

Occurred
Mar 7, 2017
First Form ADV filing
L3 Capital Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:480486c0-c687-3347-ab4f-1bcb8bf5e33d
First observed: Mar 7, 2017
Last observed: Mar 30, 2020 78 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.