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••••••• R••••• A••••••• L••

Former SEC-registered adviserSimsbury, ConnecticutCRD 107304SEC 801-53304IAPD
Latest filing Aug 23, 2022
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$6.9B
reported, Item 5.F
Discretionary
91%
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
31
21 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
18
$6.9B gross assets
History
28 filings and snapshots on the tape
RAUM$6.9B as of Mar 31, 2022
Mar 30, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 1, 20130 then
Employees (5.A)31 as of Mar 31, 2022
Apr 1, 201348 then
Private funds18 as of Mar 31, 2022
Mar 30, 201213 then
RAUM +20% over the last fiscal year+2.7% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Aug 23, 2022; 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
$384MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+20%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$6.9B, 18 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$6.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$6.9B for 18 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••• R••• E••••• P••••••• V••• O•••••••• L•••no longer reportedReal Estate Fund$368M52Mar 31, 2017
      L••••••• R••• E••••• P••••••• V••• O••••••• C••••••••• F•••• L•••no longer reportedReal Estate Fund$70.8M1Mar 29, 2018
      N•• I••••••••• I•• L••• S••••• I• R•••••• O• I•• R• O••••••• S•••••no longer reportedReal Estate Fund$49.3M1Mar 27, 2020
      L••••••• R••• E••••• P••••••• V• O••••••• C• I• L•••no longer reportedReal Estate Fund$44.7M1Mar 30, 2012
      L••••••• R••• E••••• P••••••• V• C• I•• L•••no longer reportedReal Estate Fund$19.7M1Mar 30, 2012
      W•••••• V•• I••••••••• L••no longer reportedReal Estate Fund$3.9M1Mar 30, 2012
      L••••••• E••••• P••••••• V••• L•••no longer reportedReal Estate Fund$3.8M27Mar 30, 2012
      L••••••• E••••• T•••• V••no longer reportedReal Estate Fund$3.1M6Mar 30, 2012
      L••••••• R••• E••••• T•••• I•no longer reportedReal Estate Fund$1.1M10Mar 30, 2012
      L••••••• R••• E••••• P••••••• I•• L•••no longer reportedReal Estate Fund$439,22319Mar 30, 2012
      W•••••• V•• H••••••• L••no longer reportedReal Estate Fund$288,1261Mar 30, 2012
      L••••••• E••••• F••• V•no longer reportedReal Estate Fund$122,8963Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• C•••• S••••• · Vice President, Partnercontrol
        since 09/2003 · owns less than 5%
      • B•••••• F••••••••• L•••• · Co-Head, Secondaries & Partnercontrol
        since 06/2021 · owns less than 5%
      • H•••••••• T••••••• L•••••• · Co-Head, Secondaries & Partnercontrol
        since 06/2021 · owns less than 5%
      • K••••••• M•••••• G•••••••• · Chief Compliance Officercontrol
        since 06/2021 · owns less than 5%
      • M••••••• R•••••• P••• · Vice President, Partnercontrol
        since 09/1996 · owns less than 5%
      • S••••• A•••••• N•••••• S••• · General Counsel And Secretarycontrol
        since 06/2021 · owns less than 5%
      • S•••••••• C••••••••• E••••• · Vice President, Chief Administrative Officer, Secondaries & Partnercontrol
        since 06/2021 · owns less than 5%
      • S•••••• J••••• J••• · Vice President, Partnercontrol
        since 02/2011 · owns less than 5%
      • R••••••• A•••••• P•••• · L•••••• Partnercontrol
        since 01/2002 · owns 25% to 50% of A••• O••••• H••••••• L•••
      • L••••••• A••••••••• C•••••• · M••••••• D•••••Or, Head Of Secondaries Compliance
        since 06/2021 · owns less than 5%
      Entity owners
      • L••••••• P••••••• L•• · M•••••
        direct · owns 75% or more
      • A••• H••••• L•• · General Partner
        indirect · owns F of A••• M••••••••• H••••••• L•••
      • A••• H••••• L•• · General Partner
        indirect · owns 25% to 50% of A••• H••••••• L•••
      • A••• H••••••• L••• · L•••••• Partner
        indirect · owns 75% or more of A••• M••••••••• H••••••• L•••
      • A••• M••••••••• C••••••••• · M•••••
        indirect · owns 75% or more of A••• H••••• L•• · public reporting company
      • A••• M••••••••• H••••••• L••• · M•••••
        indirect · owns 75% or more of A••• M••••••••• L••
      • A••• M••••••••• L•• · M•••••
        indirect · owns 75% or more of L••••••• P••••••• L••
      • A••• O••••• H••••••• L••• · L•••••• Partner
        indirect · owns 25% to 50% of A••• H••••••• L•••
      • A••• P••••••• H••••• L•• · General Partner
        indirect · owns F of A••• O••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      • A•• I•• G• ••••••••• L••
        pooled vehicle sponsorn
      • A••• I••••••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • A•••• I•• G• L••
        pooled vehicle sponsorn
      • A••• A••• M••••••••• L•••
        pooled vehicle sponsorn
      • A••• I••••••••• M••••••••• L••
        investment adviserbankn
      • A••• I• A•• C•••••••• M••••••••• L••
        pooled vehicle sponsorn
      • A••• M••••••••• I•• L•••
        pooled vehicle sponsorn
      • A••• M••••••••• I••• L•••
        pooled vehicle sponsorn
      • A••• M••••••••• I•• L•••
        pooled vehicle sponsorn
      • A••• M••••••••• V• L•••
        pooled vehicle sponsorn
      • A••• M••••••••• V• G• L••
        pooled vehicle sponsorn
      • A••• M••••••••• V•• L•••
        pooled vehicle sponsorn
      • A••• M••••••••• L•••
        pooled vehicle sponsorn
      • A••• O•••••••• M•••••• I•• L•••
        investment advisern
      • A••• O•••••••• M•••••• I••• L••
        investment adviserbankn
      • A••• O•••••••• M•••••• I•• L••
        investment adviserbankn
      • A••• O•••••••• M••••••• L•••
        investment adviserbankn
      • A•••• A•••••• L••
        investment advisern
      • A••• K•••• G•• L••
        pooled vehicle sponsorn
      • A••• L••••• G•• L••
        pooled vehicle sponsorn
      • A••• M••••••••• G• L••
        pooled vehicle sponsorn
      • A••• M••••••••• L•••
        pooled vehicle sponsorn
      • A•••• ••••••••• G• I•• L••
        pooled vehicle sponsorn
      • A•••• G• I•• L••
        pooled vehicle sponsorn
      • A•••• I• N• G•• L•••
        pooled vehicle sponsorn
      • A•••• I•• N• S•••••••• C•••••••• G•• L•••
        pooled vehicle sponsorn
      • A••• M••••••••• G• L••
        pooled vehicle sponsorn
      • A••• M••••••••• L•
        pooled vehicle sponsorn
      • A•••• A•••••• L••
        investment advisern
      • A••••••• G• L••
        pooled vehicle sponsorn
      Advisers that list L••••••• R••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom15 employees
      • Boston, MA11 employees
      • Palm Beach Gardens, FL2 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 65 to 21
        Jul 2, 2021 to Mar 31, 2022
      • BD registered reps · 0 to 3
        Jul 2, 2021 to Mar 31, 2022
      • Assets in custody · $5.8B to $6.9B
        Jul 2, 2021 to Mar 31, 2022
      • Employees · 131 to 31
        Jul 2, 2021 to Mar 31, 2022
      • Other offices · 5 to 3
        Jul 2, 2021 to Mar 31, 2022
      • Discretionary RAUM · $5.2B to $6.3B
        Jul 2, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $606M to $605M
        Jul 2, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $5.8B to $6.9B
        Jul 2, 2021 to Mar 31, 2022
      • RAUM · $5.8B to $6.9B
        Jul 2, 2021 to Mar 31, 2022
      • Advisory activities · 2 to 1
        Apr 12, 2021 to Jul 2, 2021
      • Other offices · 4 to 5
        Apr 12, 2021 to Jul 2, 2021
      • Related broker-dealer · false to true
        Apr 12, 2021 to Jul 2, 2021
      • Accounts · 20 to 18
        Jul 27, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 20 to 18
        Jul 27, 2020 to Mar 30, 2021
      • Assets in custody · $6.4B to $5.8B
        Jul 27, 2020 to Mar 30, 2021
      • Employees · 3,120 to 131
        Jul 27, 2020 to Mar 30, 2021
      • State-registered IARs · 1 to 0
        Jul 27, 2020 to Mar 30, 2021
      • Private funds · 20 to 18
        Jul 27, 2020 to Mar 30, 2021
      • Discretionary RAUM · $5.8B to $5.2B
        Jul 27, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $726M to $606M
        Jul 27, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $6.5B to $5.8B
        Jul 27, 2020 to Mar 30, 2021
      • RAUM · $6.5B to $5.8B
        Jul 27, 2020 to Mar 30, 2021
      • Related broker-dealer · true to false
        Jul 27, 2020 to Mar 30, 2021
      • Accounts · 19 to 20
        Jul 30, 2019 to Mar 27, 2020
      • Advisory employees · 61 to 65
        Jul 30, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 19 to 20
        Jul 30, 2019 to Mar 27, 2020
      • Employees · 113 to 3,120
        Jul 30, 2019 to Mar 27, 2020
      • Private funds · 19 to 20
        Jul 30, 2019 to Mar 27, 2020
      • Discretionary RAUM · $5.8B to $5.8B
        Jul 30, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $569M to $726M
        Jul 30, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $6.4B to $6.5B
        Jul 30, 2019 to Mar 27, 2020
      • RAUM · $6.4B to $6.5B
        Jul 30, 2019 to Mar 27, 2020
      • Accounts · 17 to 19
        Jul 26, 2018 to Mar 28, 2019
      • Advisory employees · 55 to 61
        Jul 26, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 17 to 19
        Jul 26, 2018 to Mar 28, 2019
      • Assets in custody · $5.5B to $6.4B
        Jul 26, 2018 to Mar 28, 2019
      • Employees · 101 to 113
        Jul 26, 2018 to Mar 28, 2019
      • Private funds · 17 to 19
        Jul 26, 2018 to Mar 28, 2019
      • Discretionary RAUM · $5.3B to $5.8B
        Jul 26, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $449M to $569M
        Jul 26, 2018 to Mar 28, 2019
      Signals
      5 dated events
      • Peter Antony Ressler (Limited Partner) appeared on Schedule A of L••••••• R••••• A••••••• L••
        Jul 2, 2021 · Control person joined · fact
      • Goldsmith Miriam Krieger (Chief Compliance Officer) appeared on Schedule A of L••••••• R••••• A••••••• L••
        Jul 2, 2021 · Control person joined · fact
      • S••• N••••• S••••• A••••• (General Counsel And Secretary) appeared on Schedule A of L••••••• R••••• A••••••• L••
        Jul 2, 2021 · Control person joined · fact
      • John Robert Dombi (Vice President, Partner) no longer on Schedule A of L••••••• R••••• A••••••• L•• (listed 2018-07-26, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • L••••••• R••••• A••••••• L•• reported RAUM $5.5B, up 86% from $3.0B (2017-08-02 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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••••••• R••••• A••••••• L•• 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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