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••• P••••••• M••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 107598SEC 801-43675IAPD
Latest filing Feb 3, 2017
First filing on the tape Dec 23, 2011 · 12 filings
RAUM
$24.4M
reported, Item 5.F
Discretionary
100%
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$38.1M gross assets
History
12 filings and snapshots on the tape
RAUM$24.4M as of Dec 27, 2016
Dec 23, 2011$29.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 27, 2016
Dec 23, 20110 then
Employees (5.A)4 as of Dec 27, 2016
Dec 20, 201210 then
Private funds3 as of Dec 27, 2016
Dec 23, 20112 then
RAUM +51% over the last fiscal year+2.2% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Feb 3, 2017; every figure names its basis
RAUM per advisor
$24.4MderivedRAUM 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
$12.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+51%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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••• P••••••• T•••• R••••• M••••• F••• L•Other Private Fund$13.7M1Dec 27, 2016
      L••• P••••••• T•••• R••••• F••• L•Other Private Fund$13.7M7Dec 27, 2016
      L••• P••••••• O••••••• F••• L•••Hedge Fund$10.7M11Dec 23, 2011
      L••• P••••••• F••• L•Hedge Fund$5.5M11Dec 23, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• T•••••• L•••• · Chairman Of Lhccontrol
        since 01/1993 · owns 75% or more
      • T••••••••• P••••• A••••••••• · President, Directorcontrol
        since 01/1993 · owns less than 5%
      • K••••••• T•••••• L•••• · Shareholdercontrol
        since 09/1976 · owns 50% to 75% of L••• H•••••• C•••••••••
      • C••••••• C••••••• E•••••••• · Chief Compliance Officer
        since 01/2017 · owns less than 5%
      Entity owners
      • L••• H•••••• C••••••••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list L••• P••••••• M••••••••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 2
        Jan 4, 2016 to Dec 27, 2016
      • BD registered reps · 8 to 2
        Jan 4, 2016 to Dec 27, 2016
      • Assets in custody · 5452893.0 to unset
        Jan 4, 2016 to Dec 27, 2016
      • Custody of client assets · true to false
        Jan 4, 2016 to Dec 27, 2016
      • Employees · 10 to 4
        Jan 4, 2016 to Dec 27, 2016
      • State-registered IARs · 0 to 1
        Jan 4, 2016 to Dec 27, 2016
      • Private funds · 2 to 3
        Jan 4, 2016 to Dec 27, 2016
      • Discretionary RAUM · $16.1M to $24.4M
        Jan 4, 2016 to Dec 27, 2016
      • RAUM · $16.1M to $24.4M
        Jan 4, 2016 to Dec 27, 2016
      • BD registered reps · 10 to 8
        Nov 3, 2015 to Jan 4, 2016
      • Assets in custody · $7.0M to $5.5M
        Nov 3, 2015 to Jan 4, 2016
      • Discretionary RAUM · $18.6M to $16.1M
        Nov 3, 2015 to Jan 4, 2016
      • RAUM · $18.6M to $16.1M
        Nov 3, 2015 to Jan 4, 2016
      • Related bank · true to false
        Nov 3, 2015 to Jan 4, 2016
      • Assets in custody · $7.5M to $7.0M
        Dec 24, 2013 to Jan 2, 2015
      • Discretionary RAUM · $22.8M to $18.6M
        Dec 24, 2013 to Jan 2, 2015
      • RAUM · $22.8M to $18.6M
        Dec 24, 2013 to Jan 2, 2015
      • Assets in custody · $14.5M to $7.5M
        Dec 20, 2012 to Dec 24, 2013
      • Discretionary RAUM · $27.5M to $22.8M
        Dec 20, 2012 to Dec 24, 2013
      • RAUM · $27.5M to $22.8M
        Dec 20, 2012 to Dec 24, 2013
      • Advisory employees · unset to 1.0
        Sep 6, 2012 to Dec 20, 2012
      • Advisory activities · 2 to 1
        Sep 6, 2012 to Dec 20, 2012
      • BD registered reps · unset to 10.0
        Sep 6, 2012 to Dec 20, 2012
      • Employees · unset to 10.0
        Sep 6, 2012 to Dec 20, 2012
      • Financial planning clients · 0 to unset
        Sep 6, 2012 to Dec 20, 2012
      • Discretionary RAUM · $29.3M to $27.5M
        Sep 6, 2012 to Dec 20, 2012
      • RAUM · $29.3M to $27.5M
        Sep 6, 2012 to Dec 20, 2012
      • Assets in custody · $14.6M to $14.5M
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $29.7M to $29.3M
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $29.7M to $29.3M
        Dec 23, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      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