DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

3D/L CAPITAL MANAGEMENT, LLC

CRD 283304

HARTFORD, CT

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:d741c7be-0390-ad10-91e0-0c9dcdadebfb

Data as of Dec 22, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 24
On other graphs: 1
Observed: May 17, 2016 to Dec 22, 2023
21 observations

Across DFX

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

Allocatorsidentity

3d/l Capital Management, LLC

Investment consultant · 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: $574MItem 5.F on the latest filing (2023-12-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $574M
Private client RAUM: $390MderivedItem 5.D individuals plus high net worth individuals
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,422
Individual clients: 748
High net worth clients: 86
Custody, client assets: $135M
SEC number: 801-107874
CRD: 283304
Filings on the tape: 21
First filed: May 17, 2016
Latest filed: Dec 22, 2023
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
LEE DIVERSIFIED OPPORTUNITIES MASTER FUND LP	Hedge Fund	$179M	May 2, 2017	1	May 17, 2016	dropped	n/a
LEE ADAPTIVE STRATEGIES LP	Hedge Fund	$11.5M	May 2, 2017	7	Aug 5, 2016	dropped	021-266810

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
BHATT, KEVIN, BHALCHANDRA	Shareholder	C	yes	02/2016	Aug 10, 2022	Dec 22, 2023
BROWN, JAMES, GERARD	Shareholder	C	yes	02/2016	Aug 10, 2022	Dec 22, 2023
COHEN, JEFFREY, MAX	TRUSTEE, EH SERIES A PREFERRED REVOCABLE TRUST	F	yes	03/2020	Aug 10, 2022	Dec 22, 2023
DAIGNAULT, STEVEN, MARK	CHIEF FINANCIAL OFFICER	Na	yes	06/2022	Aug 10, 2022	Dec 22, 2023
EH SERIES A PREFERRED REVOCABLE TRUST	SHAREHOLDER, SERIES A CONVERTIBLE PREFERRED STOCK	D	yes	03/2020	Aug 10, 2022	Dec 22, 2023
EQIS COMMON HOLDCO, LLC	SHAREHOLDER, COMMON STOCK	D	yes	07/2018	Aug 10, 2022	Dec 22, 2023
EQIS HOLDING, INC.	Shareholder	E	yes	06/2022	Aug 10, 2022	Dec 22, 2023
FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	LIMITED LIABILITY COMPANY	E	yes	06/2022	Aug 10, 2022	Dec 22, 2023
FREEDOM ADVISORS GROUP LLC	Shareholder	E	yes	06/2022	Aug 10, 2022	Dec 22, 2023
HERRMANN, ROBERT, PHILIP	CHIEF EXECUTIVE OFFICER	Na	yes	06/2022	Aug 10, 2022	Dec 22, 2023
LAVINE, BENJAMIN, MARSHAL	CHIEF INVESTMENT OFFICER	Na	yes	06/2022	Dec 24, 2020	Dec 22, 2023
LONG RIDGE EQUITY PARTNERS	VOTER, COMMON STOCK THROUGH LRECH SPECIAL MEMBER, LLC	F	yes	08/2019	Aug 10, 2022	Dec 22, 2023
LONG RIDGE EQUITY PARTNERS I, L.P.	SHAREHOLDER, SERIES C CONVERTIBLE PREFERRED STOCK	C	yes	08/2018	Aug 10, 2022	Dec 22, 2023
LONG RIDGE EQUITY PARTNERS I, L.P.	Shareholder	E	yes	07/2018	Aug 10, 2022	Dec 22, 2023
LONG RIDGE EQUITY PARTNERS, LLC	GENERAL PARTNER	F	yes	02/2016	Aug 10, 2022	Dec 22, 2023
LUCICH, ANDREW, THOMAS	CHIEF COMPLIANCE OFFICER	Na	yes	12/2020	Dec 24, 2020	Dec 22, 2023
NELSON, WILLIAM, ROBERT	Shareholder	C	yes	07/2018	Aug 10, 2022	Dec 22, 2023
O'CONNOR, JOHN, ARTHUR	President	Na	yes	12/2020	Dec 24, 2020	Dec 22, 2023
WINTERS, SCOTT, CHRISTOPHER	Shareholder	C	yes	07/2018	Aug 10, 2022	Dec 22, 2023

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
2022	Mar 31, 2023	$574M	$574M	14	10	6	n/a	n/a
2021	Mar 31, 2022	$666M	$666M	15	10	5	n/a	n/a
2020	Mar 31, 2021	$682M	$682M	19	12	5	n/a	n/a
2019	Mar 30, 2020	$131M	$131M	5	2	0	n/a	n/a
2018	Mar 28, 2019	$162M	$162M	5	2	0	n/a	n/a
2017	Mar 8, 2018	$205M	$205M	15	7	0	n/a	n/a
2016	Mar 30, 2017	$180M	$180M	15	7	n/a	2	$190M

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
2022	$574M	$666M	-13.8%	$131M	63.7%	14	15	0	5

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FREEDOM INVESTMENT MANAGEMENT, INC.	2	Dec 21, 2023	Jan 30, 2024	HARTFORD, CT	Channel change	RIA to RIA	28.6%
FREEDOM INVESTMENT MANAGEMENT, INC.	2	Dec 21, 2023	Feb 15, 2024	NORTHBOROUGH, MA	Channel change	RIA to RIA	28.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
3D ASSET MANAGEMENT, INC.	2	Mar 31, 2021	Apr 8, 2021	HARTFORD, CT	Team lift out	RIA to RIA	25.0%
3D ASSET MANAGEMENT, INC.	3	Mar 31, 2021	Apr 13, 2021	NORTHBOROUGH, MA	Team lift out	RIA to RIA	37.5%

Relationships

Controls (17)

← O'CONNOR, JOHN, ARTHUROwnerPRESIDENT, ownership code NA, individual
Dec 24, 2020 to presentfactForm ADV
← HERRMANN, ROBERT, PHILIPOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 10, 2022 to presentfactForm ADV
← LONG RIDGE EQUITY PARTNERSOwnerVOTER, COMMON STOCK THROUGH LRECH SPECIAL MEMBER, LLC, ownership code F, domestic entity
Aug 10, 2022 to presentfactForm ADV
← LUCICH, ANDREW, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 24, 2020 to presentfactForm ADV
← COHEN, JEFFREY, MAXOwnerTRUSTEE, EH SERIES A PREFERRED REVOCABLE TRUST, ownership code F, individual
Aug 10, 2022 to presentfactForm ADV
← WINTERS, SCOTT, CHRISTOPHEROwnerSHAREHOLDER, ownership code C, individual
Aug 10, 2022 to presentfactForm ADV
← NELSON, WILLIAM, ROBERTOwnerSHAREHOLDER, ownership code C, individual
Aug 10, 2022 to presentfactForm ADV
← BROWN, JAMES, GERARDOwnerSHAREHOLDER, ownership code C, individual
Aug 10, 2022 to presentfactForm ADV
← BHATT, KEVIN, BHALCHANDRAOwnerSHAREHOLDER, ownership code C, individual
Aug 10, 2022 to presentfactForm ADV
← LAVINE, BENJAMIN, MARSHALOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 24, 2020 to presentfactForm ADV
← DAIGNAULT, STEVEN, MARKOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 10, 2022 to presentfactForm ADV
← EH SERIES A PREFERRED REVOCABLE TRUSTOwnerSHAREHOLDER, SERIES A CONVERTIBLE PREFERRED STOCK, ownership code D, domestic entity
Aug 10, 2022 to presentfactForm ADV
← EQIS COMMON HOLDCO, LLCOwnerSHAREHOLDER, COMMON STOCK, ownership code D, domestic entity
Aug 10, 2022 to presentfactForm ADV
← EQIS HOLDING, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Aug 10, 2022 to presentfactForm ADV
← FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLCOwnerLIMITED LIABILITY COMPANY, ownership code E, domestic entity
Aug 10, 2022 to presentfactForm ADV
← FREEDOM ADVISORS GROUP LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 10, 2022 to presentfactForm ADV
← LONG RIDGE EQUITY PARTNERS I, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Aug 10, 2022 to presentfactForm ADV

Moved with (2)

→ FREEDOM INVESTMENT MANAGEMENT, INC.Registered adviser4 advisors, firm absorbed
Dec 21, 2023 to Feb 15, 2024factForm ADV
← 3D ASSET MANAGEMENT, INC.Registered adviser3 advisors, team lift out, same day
Mar 31, 2021 to Apr 13, 2021factForm ADV

Registered with (9)

← JOHN ARTHUR O'CONNORAdvisorregistration: previous registration
Apr 8, 2021 to Dec 31, 2023factForm ADV
← KEITH KRISTAN LINDBERGAdvisorregistration: previous registration
Apr 21, 2021 to Dec 22, 2023factForm ADV
← JAMES LOUIS MATTAdvisorregistration: previous registration
Apr 20, 2021 to Dec 21, 2023factForm ADV
← BRIAN EDWARD HAWLEYAdvisorregistration: previous registration
Mar 11, 2021 to Dec 21, 2023factForm ADV
← MICHAEL PAUL OTTERSONAdvisorregistration: previous registration
Apr 8, 2021 to Dec 21, 2023factForm ADV
← DANIEL WILLIAM SNYDERAdvisorregistration: previous registration
Apr 13, 2021 to Dec 21, 2023factForm ADV
← SCOTT KEVIN HAWLEYAdvisorregistration: previous registration
Mar 16, 2021 to Dec 21, 2023factForm ADV
← Jesse L PerryAdvisorregistration: previous registration
Jul 15, 2022 to Dec 18, 2023factForm ADV
← Matthew David ShuteAdvisorregistration: previous registration
Feb 23, 2021 to Jul 3, 2023factForm ADV

Advises (2)

→ LEE ADAPTIVE STRATEGIES LPPrivate fundHedge Fund, IA, no longer reported
Aug 5, 2016 to May 2, 2017factForm ADV
→ LEE DIVERSIFIED OPPORTUNITIES MASTER FUND LPPrivate fundHedge Fund, IA, no longer reported
May 17, 2016 to May 2, 2017factForm ADV

Dated events

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

Occurred
Dec 18, 2023
Advisor changed firm
Jesse L Perry left 3D/L Capital Management, Llc for Ip Financial Advisory Services Llc (registered 2023-10-17)
Form ADVobserved 5 days ago
Occurred
Jul 3, 2023
Advisor changed firm
Matthew David Shute left 3D/L Capital Management, Llc for Dynasty Wealth Management, Llc (registered 2023-07-24)
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Christopher Scott Winters (Shareholder) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Robert William Nelson (Shareholder) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Bhalchandra Kevin Bhatt (Shareholder) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Gerard James Brown (Shareholder) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Max Jeffrey Cohen (Trustee, Eh Series A Preferred Revocable Trust) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Philip Robert Herrmann (Chief Executive Officer) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person joined
Mark Steven Daignault (Chief Financial Officer) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person left
Nathan Eigerman (Co-Chief Investment Officer) no longer on Schedule A of 3D/L Capital Management, Llc (listed 2022-04-28, absent 2022-08-10)
Form ADVobserved 5 days ago
Occurred
Aug 10, 2022
Control person left
Lawrence Joseph Demmler (Chief Executive Officer, Director) no longer on Schedule A of 3D/L Capital Management, Llc (listed 2022-04-28, absent 2022-08-10)
Form ADVobserved 5 days ago
Occurred
Apr 27, 2022
Control person left
Steven Jeffrey Feinberg (Chief Legal Officer, General Counsel) no longer on Schedule A of 3D/L Capital Management, Llc (listed 2022-03-31, absent 2022-04-27)
Form ADVobserved 5 days ago
Occurred
Dec 24, 2020
Succession filed (Item 4)
Lee Capital Management Lp reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Dec 24, 2020
Regulatory AUM changed
3D/L Capital Management, Llc reported RAUM $733.9M, up 461% from $130.8M (2020-03-30 to 2020-12-24)
Form ADVobserved 5 days ago
$603M
Occurred
Dec 24, 2020
Control person left
Russell Kevin Orr (Managing Partner) no longer on Schedule A of 3D/L Capital Management, Llc (listed 2020-03-30, absent 2020-12-24)
Form ADVobserved 5 days ago
Occurred
Dec 24, 2020
Control person joined
Thomas Andrew Lucich (Chief Compliance Officer) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Dec 24, 2020
Control person joined
Arthur John O'Connor (President, Director) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Dec 24, 2020
Control person joined
Marshal Benjamin Lavine (Co-Chief Investment Officer) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2019
Control person left
Lawrence Adam Altus (Executive Officer) no longer on Schedule A of 3D/L Capital Management, Llc (listed 2019-01-18, absent 2019-03-28)
Form ADVobserved 5 days ago
Occurred
Jan 18, 2019
Control person joined
Steven Jeffrey Feinberg (Chief Compliance Officer, General Counsel) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Jan 18, 2019
Control person joined
Lawrence Adam Altus (Executive Officer) appeared on Schedule A of 3D/L Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
May 17, 2016
First Form ADV filing
Lee Capital Management Lp filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 2 bookkeeping events

Occurred
Dec 22, 2023
3D/L Capital Management, Llc reported 0 offices beyond its principal office, down from 6 (2023-04-25 to 2023-12-22)
Occurred
Dec 24, 2020
3D/L Capital Management, Llc reported 5 offices beyond its principal office, up from 0 (2020-03-30 to 2020-12-24)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d741c7be-0390-ad10-91e0-0c9dcdadebfb
First observed: May 17, 2016
Last observed: Dec 22, 2023 33 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.

3D/L CAPITAL MANAGEMENT, LLC

CRD 283304

HARTFORD, CT

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:d741c7be-0390-ad10-91e0-0c9dcdadebfb

Data as of Dec 22, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LEE DIVERSIFIED OPPORTUNITIES MASTER FUND LP

Hedge Fund

$179M

May 2, 2017

May 17, 2016

dropped

n/a

LEE ADAPTIVE STRATEGIES LP

Hedge Fund

$11.5M

May 2, 2017

Aug 5, 2016

dropped

021-266810

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BHATT, KEVIN, BHALCHANDRA

Shareholder

yes

02/2016

Aug 10, 2022

Dec 22, 2023

BROWN, JAMES, GERARD

Shareholder

yes

02/2016

Aug 10, 2022

Dec 22, 2023

COHEN, JEFFREY, MAX

TRUSTEE, EH SERIES A PREFERRED REVOCABLE TRUST

yes

03/2020

Aug 10, 2022

Dec 22, 2023

DAIGNAULT, STEVEN, MARK

CHIEF FINANCIAL OFFICER

yes

06/2022

Aug 10, 2022

Dec 22, 2023

EH SERIES A PREFERRED REVOCABLE TRUST

SHAREHOLDER, SERIES A CONVERTIBLE PREFERRED STOCK

yes

03/2020

Aug 10, 2022

Dec 22, 2023

EQIS COMMON HOLDCO, LLC

SHAREHOLDER, COMMON STOCK

yes

07/2018

Aug 10, 2022

Dec 22, 2023

EQIS HOLDING, INC.

Shareholder

yes

06/2022

Aug 10, 2022

Dec 22, 2023

FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC

LIMITED LIABILITY COMPANY

yes

06/2022

Aug 10, 2022

Dec 22, 2023

FREEDOM ADVISORS GROUP LLC

Shareholder

yes

06/2022

Aug 10, 2022

Dec 22, 2023

HERRMANN, ROBERT, PHILIP

CHIEF EXECUTIVE OFFICER

yes

06/2022

Aug 10, 2022

Dec 22, 2023

LAVINE, BENJAMIN, MARSHAL

CHIEF INVESTMENT OFFICER

yes

06/2022

Dec 24, 2020

Dec 22, 2023

LONG RIDGE EQUITY PARTNERS

VOTER, COMMON STOCK THROUGH LRECH SPECIAL MEMBER, LLC

yes

08/2019

Aug 10, 2022

Dec 22, 2023

LONG RIDGE EQUITY PARTNERS I, L.P.

SHAREHOLDER, SERIES C CONVERTIBLE PREFERRED STOCK

yes

08/2018

Aug 10, 2022

Dec 22, 2023

LONG RIDGE EQUITY PARTNERS I, L.P.

Shareholder

yes

07/2018

Aug 10, 2022

Dec 22, 2023

LONG RIDGE EQUITY PARTNERS, LLC

GENERAL PARTNER

yes

02/2016

Aug 10, 2022

Dec 22, 2023

LUCICH, ANDREW, THOMAS

CHIEF COMPLIANCE OFFICER

yes

12/2020

Dec 24, 2020

Dec 22, 2023

NELSON, WILLIAM, ROBERT

Shareholder

yes

07/2018

Aug 10, 2022

Dec 22, 2023

O'CONNOR, JOHN, ARTHUR

President

yes

12/2020

Dec 24, 2020

Dec 22, 2023

WINTERS, SCOTT, CHRISTOPHER

Shareholder

yes

07/2018

Aug 10, 2022

Dec 22, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 31, 2023

$574M

n/a

2021

Mar 31, 2022

$666M

n/a

2020

Mar 31, 2021

$682M

n/a

2019

Mar 30, 2020

$131M

n/a

2018

Mar 28, 2019

$162M

n/a

2017

Mar 8, 2018

$205M

n/a

2016

Mar 30, 2017

$180M

n/a

$190M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$574M

$666M

-13.8%

$131M

63.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FREEDOM INVESTMENT MANAGEMENT, INC.

Dec 21, 2023

Jan 30, 2024

HARTFORD, CT

Channel change

RIA to RIA

28.6%

FREEDOM INVESTMENT MANAGEMENT, INC.

Dec 21, 2023

Feb 15, 2024

NORTHBOROUGH, MA

Channel change

RIA to RIA

28.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

3D ASSET MANAGEMENT, INC.

Mar 31, 2021

Apr 8, 2021

HARTFORD, CT

Team lift out

RIA to RIA

25.0%

3D ASSET MANAGEMENT, INC.

Mar 31, 2021

Apr 13, 2021

NORTHBOROUGH, MA

Team lift out

RIA to RIA

37.5%