DFX Intelligence

L••••• W••••• M•••••••••: 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••••• W••••• M•••••••••

L••••• W••••• M••••••••• LLC, CRD 151032

NEW YORK, NY

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Search this name across graphsid dfx:ria:51866109-c05d-a1f6-1bcd-0ffb01cff5f3

Data as of Dec 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Dec 6, 2012
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $112M••• Locked
Discretionary RAUM: $112M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•• P••••••• O••••••••• M••••• F•••• L••	Hedge Fund	$10.1M	Dec 6, 2012	9	Mar 30, 2012	reported	021-161399
L•• G••••• O••••••••• M••••• F•••• L••	Other Private Fund	$4.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• A•••••	Director	Na	yes	06/2009	Mar 30, 2012	Dec 6, 2012
C••••••• E•••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2010	Mar 30, 2012	Dec 6, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••• A•••• M••••••••• L••	n/a	Other adviser	$121B	N	yes	n/a
L••••• A•••• M••••••••• •••••••••	n/a	Other adviser	$2.3B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$112M	$112M	n/a	n/a	n/a	2	$14.9M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$112M	n/a	n/a	n/a	n/a	23	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ L••••• A•••• M••••••••• C••••• INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ L••••• A••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ L••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:51866109-c05d-a1f6-1bcd-0ffb01cff5f3
First observed: Mar 30, 2012
Last observed: Dec 6, 2012 167 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.