DFX Intelligence

L•••• C••••• I•••: 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•••• C••••• I•••

CRD 301546

MIAMI, FL

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Data as of Aug 13, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2019 to Aug 13, 2019
2 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: $743M••• Locked
Discretionary RAUM: $743M
Private client RAUM: $108Mderived••• Locked
Private client share: 14%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•••• C• H••••••••• F••• U•• L•	Hedge Fund	$0	Aug 13, 2019	0	Jul 19, 2019	reported	021-344726

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• T••••• H•••••	DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	11/2017	Jul 19, 2019	Aug 13, 2019
G••••• M••••••• C••••••	Director	Na	yes	03/2019	Jul 19, 2019	Aug 13, 2019

Affiliates (Item 7.A)

••• Locked

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	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
RIO DE JANEIRO	n/a	Brazil	2	no

Relationships

Affiliated with (5)

→ 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•••• A••••••••• D• R••••••• L••••Registered adviserother investment adviser, common control

Dated events

Order

Occurred
19 Jul 2019
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 19, 2019
Last observed: Aug 13, 2019 86 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.

All 14 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••• M• M••••••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
L•••• P•••••• E••••• G••••• D• R••••••• L••••	n/a	n/a	n/a	N	yes	n/a
L•••• R••• E••••• C••••••••• I••••••••• L••••	n/a	n/a	n/a	N	yes	n/a
N•• C•••••• G••••• D• R••••••• L••••	n/a	n/a	n/a	N	yes	n/a