DFX Intelligence

L•••• C•••••• M••••••••• L•••••: 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•••••• M••••••••• L•••••

CRD 112050

RED BANK, NJ

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Search this name across graphsid dfx:ria:b90e93a7-71fc-f207-ae8e-0d26c2e30198

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 1
Observed: Mar 29, 2012 to Jun 25, 2020
18 observations

Across DFX

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

Private Equityidentity

L•••• C•••••• M••••••••• L•••••

Private equity 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: $219M••• Locked
Discretionary RAUM: $218M
Private client RAUM: $192Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•••• E••••• V••••••• I•• L•	Private Equity Fund	$58.8M	Mar 27, 2015	45	Mar 29, 2012	dropped	n/a
L•••• E••••• T•••• R••••• O•••••••• L•••	Hedge Fund	$31.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• B••••• T•••••	SR. PORTFOLIO MANAGER - CCO	Na	yes	09/2004	Mar 29, 2012	Jun 25, 2020
S•••••• R•••	Principal	D	yes	06/2007	Mar 29, 2012	Jun 25, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$219M	$182M	19.9%	$183M	6.2%	5	5	0	0

Relationships

Controls (4)

← S••••••••• M••••••• B••••OwnerSR. PORTFOLIO MANAGER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← F••••• B••••• T•••••OwnerSR. PORTFOLIO MANAGER - CCO, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← S•••••• R•••OwnerPRINCIPAL, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← V••••• R•••••• J•OwnerPRINCIPAL, ownership code D, individual
Mar 27, 2015 to presentfact

Dated events

Occurred
Mar 26, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b90e93a7-71fc-f207-ae8e-0d26c2e30198
First observed: Mar 29, 2012
Last observed: Jun 25, 2020 76 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.