DFX Intelligence

Data Factory

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

LAMPE, CONWAY & CO. LLC

CRD 138194

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d08537e3-0b02-0b84-0580-18570eb7371a

Data as of Mar 17, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 17, 2021
10 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: $68.3MItem 5.F on the latest filing (2021-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $68.3M
Private client RAUM: $4.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 6%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
High net worth clients: 0
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $80.5Mgross asset value as reported per fund; never fund size
Custody, client assets: $0
SEC number: 801-65358
CRD: 138194
Filings on the tape: 10
First filed: Mar 21, 2012
Latest filed: Mar 17, 2021
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
LC CAPITAL MASTER FUND, LTD	Hedge Fund	$75.2M	Mar 17, 2021	30	Mar 21, 2012	reported	021-66374
LC CAPITAL TARGETED OPPORTUNITIES FUND, LP	Hedge Fund	$5.3M	Mar 17, 2021	2	Mar 6, 2014	reported	n/a

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
CONWAY, RICHARD, FRANCIS	MANAGING MEMBER	D	yes	10/1999	Mar 21, 2012	Mar 17, 2021
LAMPE, STEVEN, GEORGE	MANAGING MEMBER	D	yes	10/1999	Mar 21, 2012	Mar 17, 2021
SCHAEFFER, ERIC, ALEXANDER	CHIEF COMPLIANCE OFFICER	Na	no	01/2005	Mar 21, 2012	Mar 17, 2021

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
2020	Mar 17, 2021	$68.3M	$68.3M	5	5	0	2	$80.5M
2019	Jan 27, 2020	$75.5M	$75.5M	5	5	0	2	$80.5M
2018	Feb 20, 2019	$73.5M	$73.5M	5	5	0	2	$80.5M
2017	Mar 23, 2018	$80.5M	$80.5M	5	5	0	2	$80.5M
2016	Mar 6, 2017	$85.0M	$85.0M	5	5	n/a	2	$245M
2015	Mar 7, 2016	$86.0M	$86.0M	6	6	n/a	2	$245M
2014	Feb 9, 2015	$96.0M	$96.0M	6	6	n/a	2	$245M
2013	Mar 6, 2014	$130M	$130M	8	6	n/a	2	$246M
2012	Mar 11, 2013	$137M	$137M	9	8	n/a	1	$240M
2011	Mar 21, 2012	$240M	$240M	n/a	n/a	n/a	1	$240M

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
2020	$68.3M	$75.5M	-9.7%	$80.5M	-5.4%	5	5	0	0

Relationships

Advises (2)

→ LC CAPITAL MASTER FUND, LTDPrivate fundHedge Fund, IA
Mar 21, 2012 to presentfactForm ADV
→ LC CAPITAL TARGETED OPPORTUNITIES FUND, LPPrivate fundHedge Fund, IA
Mar 6, 2014 to presentfactForm ADV

Controls (2)

← CONWAY, RICHARD, FRANCISOwnerMANAGING MEMBER, ownership code D, individual
Mar 21, 2012 to presentfactForm ADV
← LAMPE, STEVEN, GEORGEOwnerMANAGING MEMBER, ownership code D, individual
Mar 21, 2012 to presentfactForm ADV

Owns (1)

← SCHAEFFER, ERIC, ALEXANDEROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d08537e3-0b02-0b84-0580-18570eb7371a
First observed: Mar 21, 2012
Last observed: Mar 17, 2021 67 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.

LAMPE, CONWAY & CO. LLC

CRD 138194

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d08537e3-0b02-0b84-0580-18570eb7371a

Data as of Mar 17, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LC CAPITAL MASTER FUND, LTD

Hedge Fund

$75.2M

Mar 17, 2021

Mar 21, 2012

reported

021-66374

LC CAPITAL TARGETED OPPORTUNITIES FUND, LP

Hedge Fund

$5.3M

Mar 17, 2021

Mar 6, 2014

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONWAY, RICHARD, FRANCIS

MANAGING MEMBER

yes

10/1999

Mar 21, 2012

Mar 17, 2021

LAMPE, STEVEN, GEORGE

MANAGING MEMBER

yes

10/1999

Mar 21, 2012

Mar 17, 2021

SCHAEFFER, ERIC, ALEXANDER

CHIEF COMPLIANCE OFFICER

01/2005

Mar 21, 2012

Mar 17, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 17, 2021

$68.3M

$80.5M

2019

Jan 27, 2020

$75.5M

$80.5M

2018

Feb 20, 2019

$73.5M

$80.5M

2017

Mar 23, 2018

$80.5M

2016

Mar 6, 2017

$85.0M

n/a

$245M

2015

Mar 7, 2016

$86.0M

n/a

$245M

2014

Feb 9, 2015

$96.0M

n/a

$245M

2013

Mar 6, 2014

$130M

n/a

$246M

2012

Mar 11, 2013

$137M

n/a

$240M

2011

Mar 21, 2012

$240M

n/a

$240M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$68.3M

$75.5M

-9.7%

$80.5M

-5.4%