DFX Intelligence

L•• F•••••• G•••• M••••••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

L•• F•••••• G•••• M••••••••• C••••••

CRD 174079

DELRAY BEACH, FL

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Search this name across graphsid dfx:ria:90d8efea-8ca4-2339-f244-155f0a5ac9ee

Data as of Mar 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 6
On other graphs: 2
Observed: Jun 29, 2017 to Mar 31, 2025
14 observations

Across DFX

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

Private Equityidentity

L•• F•••••• G•••• M••••••••• C••••••

Private equity manager · shared crd

Venture Capitalidentity

L•• F•••••• G•••• M••••••••• C••••••

Venture 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: $101M••• Locked
Discretionary RAUM: $62.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•• S•••••• I••••••• G••••• L•• • S••••• 1• E••••• E•• L••	Private Equity Fund	$3.2M	Jun 4, 2018	19	Jan 30, 2015	dropped	021-260675
L•• F•••••• G•••• F••• I••• A• S••••• O• L•• S•••••• I••••••• G••••• L••	Private Equity Fund	$3.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• R•••••• M••••••	CHIEF FINANCIAL OFFICER	Na	yes	10/2013	Jun 29, 2017	Nov 21, 2024
B••••• S••••••••• S•••••••	GENERAL COUNSEL	Na	yes	09/2022	Mar 30, 2023	Nov 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• F•••••• G•••• H•••••••• L•	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
MILL VALLEY	CA	United States	10	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$101M	$105M	-3.8%	$220M	-22.7%	11	15	1	1

Relationships

Advises (8)

→ L•• F•••••• G•••• F••• I• L•Private fundPrivate Equity Fund, IA
Feb 8, 2018 to presentfactForm ADV
→ L•• H•• S••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2019 to presentfactForm ADV
→ T•• L•• A•••• H••••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2017 to presentfactForm ADV
→ L•• F•••••• G•••• F••• I••• A• S••••• O• L•• S•••••• I••••••• G••••• L••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 30, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 10, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90d8efea-8ca4-2339-f244-155f0a5ac9ee
First observed: Jun 29, 2017
Last observed: Mar 31, 2025 18 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.