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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

L••••••• A••••••• L••

CRD 309937

PRINCETON, NJ

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Search this name across graphsid dfx:ria:5bdda770-086a-eb42-1182-67a34991c05d

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 15, 2020 to Mar 23, 2026
9 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $415MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $415M
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

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
A••••• S••••• C•••	MANAGING DIRECTOR	Na	yes	06/2018	Jul 15, 2020	Mar 28, 2024
B••••• D••••• A•	MANAGING MEMBER	D	yes	10/2013	Jul 15, 2020

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
L••••••• I••••••••• 2••• G• L••	n/a	n/a	n/a	N	yes	n/a
L••••••• I••••••••• 2••• G• L••	n/a	n/a	n/a	N	yes	n/a
L••••••• S•••••• O••••••••• I• G• L••

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

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
2025	$415M	$404M	2.9%	$305M	10.8%	5	4	1	1

Relationships

Controls (4)

← C•••••• D•••• E••••••••OwnerMEMBER, ownership code C, individual
Jul 15, 2020 to Mar 28, 2024factForm ADV
← A••••• S••••• C•••OwnerMANAGING DIRECTOR, ownership code NA, individual
Jul 15, 2020 to Mar 28, 2024factForm ADV
← F••••• A•••OwnerCFO AND CCO, ownership code NA, individual
Jul 15, 2020 to Mar 28, 2024factForm ADV
← B••••• D••••• A•OwnerMANAGING MEMBER, ownership code D, individual
Jul 15, 2020 to Mar 28, 2024fact

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
L••••••• A••••••• L•• reported RAUM $301.7M, up 101% from $150.3M (2021-03-23 to 2022-03-31)
Form ADVobserved 7 days ago
$151M
Occurred
Jul 15, 2020
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:5bdda770-086a-eb42-1182-67a34991c05d
First observed: Jul 15, 2020
Last observed: Mar 23, 2026 6 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.