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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

L•••• A••••••••• D• R••••••• L••••

CRD 302024

MIAMI, FL

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Search this name across graphsid dfx:ria:8e59435b-da5b-0f0e-9904-21d68689cfe2

Data as of Mar 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Jul 19, 2019 to Mar 13, 2020
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: $88.0MItem 5.F on the latest filing (2020-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $88.0M
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
C••••••• T••••• H•••••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2017	Jul 19, 2019	Mar 13, 2020
G••••• M••••••• C••••••	CHIEF RISK OFFICER	Na	yes	08/2017	Jul 19, 2019

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•••• C•••••• P••••••• ••••••••• L••	n/a	Asset manager	$1.6B	N	yes	n/a
L•••• F•••••••• S••••••• G••••• D• R••••••• L••••	n/a	Former SEC adviser	$291M	N

Offices

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

City	State	Country	Employees	Also broker-dealer
RIO DE JANEIRO	n/a	Brazil	6	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
2019	Mar 13, 2020	$88.0M	$88.0M	10	8	2	n/a	n/a

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	$88.0M	n/a	n/a	n/a	n/a	10	n/a	2	n/a

Relationships

Affiliated with (7)

→ L•••• C•••••• P••••••• ••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•••• U••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•••• C••••• G••••• D• R••••••• L••••Registered adviserother investment adviser, common control
factForm ADV
→ L•••• F•••••••• S••••••• G••••• D• R••••••• L••••Registered adviser

Dated events

Occurred
Mar 13, 2020
Regulatory AUM changed
L•••• A••••••••• D• R••••••• L•••• reported RAUM $88.0M, down 68% from $275.9M (2019-08-26 to 2020-03-13)
Form ADVobserved 7 days ago
$-188M
Occurred
Jul 19, 2019
First Form ADV filing
L•••• A••••••••• D• R••••••• L•••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e59435b-da5b-0f0e-9904-21d68689cfe2
First observed: Jul 19, 2019
Last observed: Mar 13, 2020 79 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.