DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

L•••••• C•••••• M••••••••• I••

Former SEC-registered adviserNorthbrook, IllinoisCRD 104987SEC 801-27280IAPD
Legal name L•••••• F•••••••• C••••••••• I••
Latest filing Mar 13, 2015
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$188M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
19
$99.5M gross assets
History
5 filings and snapshots on the tape
RAUM$188M as of Mar 13, 2015
Mar 29, 2012$352M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2015
Mar 28, 20130 then
Employees (5.A)7 as of Mar 13, 2015
Mar 28, 20139 then
Private funds19 as of Mar 13, 2015
Mar 29, 201220 then
RAUM -30% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$910,695derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$99.5M, 21 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
206reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$99.5M for 21 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    L•••••• I••••• P••••••• L••no longer reportedReal Estate Fund$2.6M11Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• R•••••• P••• · Directorcontrol
      since 05/2014 · owns less than 5%
    • L•••••• P••••••• E••••• · Presidentcontrol
      since 05/2014 · owns less than 5%
    • L••••••• L••••• S•• · Trustee Of The W•••••• S• L•••••• D••••••••• O• T•••• U•••• A•••• 1•• 2•••control
      since 07/1985 · owns less than 5%
    • P••••••• D••••• A•• · Exec. Vice President & Asst Secretary, Interim Ccocontrol
      since 03/1990 · owns less than 5%
    • L••••••• L••••• S•• · Trusteecontrol
      since 02/2014 · owns F of W•••••• S. L•••••• Trust
    Entity owners
    • W•••••• S• L•••••• D••••••••• O• T•••• U•••• A•••• 1•• 2••• · Owns 100% Of The Common Stock
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 356 to 206
      Nov 10, 2014 to Mar 13, 2015
    • Advisory employees · 5 to 4
      Nov 10, 2014 to Mar 13, 2015
    • Assets in custody · $104M to $99.5M
      Nov 10, 2014 to Mar 13, 2015
    • Employees · 8 to 7
      Nov 10, 2014 to Mar 13, 2015
    • Financial planning clients · 11-25 to 26-50
      Nov 10, 2014 to Mar 13, 2015
    • Discretionary RAUM · $253M to $176M
      Nov 10, 2014 to Mar 13, 2015
    • Non-discretionary RAUM · $14.8M to $11.2M
      Nov 10, 2014 to Mar 13, 2015
    • RAUM · $268M to $188M
      Nov 10, 2014 to Mar 13, 2015
    • Accounts · 392 to 356
      Mar 28, 2013 to Mar 28, 2014
    • Advisory employees · 6 to 5
      Mar 28, 2013 to Mar 28, 2014
    • Assets in custody · $112M to $104M
      Mar 28, 2013 to Mar 28, 2014
    • Employees · 9 to 8
      Mar 28, 2013 to Mar 28, 2014
    • Private funds · 20 to 19
      Mar 28, 2013 to Mar 28, 2014
    • Discretionary RAUM · $282M to $253M
      Mar 28, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $18.3M to $14.8M
      Mar 28, 2013 to Mar 28, 2014
    • RAUM · $300M to $268M
      Mar 28, 2013 to Mar 28, 2014
    • Accounts · 424 to 392
      Mar 29, 2012 to Mar 28, 2013
    • Advisory employees · unset to 6.0
      Mar 29, 2012 to Mar 28, 2013
    • Assets in custody · $126M to $112M
      Mar 29, 2012 to Mar 28, 2013
    • Employees · unset to 9.0
      Mar 29, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 0.0
      Mar 29, 2012 to Mar 28, 2013
    • Discretionary RAUM · $326M to $282M
      Mar 29, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $25.4M to $18.3M
      Mar 29, 2012 to Mar 28, 2013
    • RAUM · $352M to $300M
      Mar 29, 2012 to Mar 28, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026
    Across the graphs

    L•••••• C•••••• M••••••••• I•• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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