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•••••• G••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 108116SEC 801-55762IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 15, 2012 · 7 filings
RAUM
$36.3M
reported, Item 5.F
Discretionary
11%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$36.3M as of Mar 29, 2016
Mar 15, 2012$208M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2016
Mar 12, 20130 then
Employees (5.A)1 as of Mar 29, 2016
Mar 12, 20134 then
Private funds1 as of Mar 6, 2015
Mar 15, 20121 then
RAUM -88% over the last fiscal year-47% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
$36.3MderivedRAUM 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
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
11%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-88%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
25reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• D••••• K•••••• · Managing Director, Chief Compliance Officercontrol
        since 09/1998 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 391 to 25
        Mar 6, 2015 to Mar 29, 2016
      • Advisory employees · 3 to 1
        Mar 6, 2015 to Mar 29, 2016
      • Advisory activities · 4 to 1
        Mar 6, 2015 to Mar 29, 2016
      • Assets in custody · 1339000.0 to unset
        Mar 6, 2015 to Mar 29, 2016
      • Custody of client assets · true to false
        Mar 6, 2015 to Mar 29, 2016
      • Employees · 5 to 1
        Mar 6, 2015 to Mar 29, 2016
      • Financial planning clients · 11-25 to 0
        Mar 6, 2015 to Mar 29, 2016
      • HQ city · BEDFORD HILLS to STAMFORD
        Mar 6, 2015 to Mar 29, 2016
      • HQ state · NY to CT
        Mar 6, 2015 to Mar 29, 2016
      • Private funds · 1 to unset
        Mar 6, 2015 to Mar 29, 2016
      • Discretionary RAUM · $244M to $4.1M
        Mar 6, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $49.0M to $32.2M
        Mar 6, 2015 to Mar 29, 2016
      • RAUM · $293M to $36.3M
        Mar 6, 2015 to Mar 29, 2016
      • Related adviser · false to true
        Mar 6, 2015 to Mar 29, 2016
      • Accounts · 372 to 391
        Mar 20, 2014 to Mar 6, 2015
      • Advisory activities · 3 to 4
        Mar 20, 2014 to Mar 6, 2015
      • Assets in custody · $1.3M to $1.3M
        Mar 20, 2014 to Mar 6, 2015
      • Financial planning clients · 0 to 11-25
        Mar 20, 2014 to Mar 6, 2015
      • Discretionary RAUM · $215M to $244M
        Mar 20, 2014 to Mar 6, 2015
      • Non-discretionary RAUM · $50.0M to $49.0M
        Mar 20, 2014 to Mar 6, 2015
      • RAUM · $265M to $293M
        Mar 20, 2014 to Mar 6, 2015
      • Accounts · 343 to 372
        Dec 9, 2013 to Mar 20, 2014
      • Advisory employees · 2 to 3
        Dec 9, 2013 to Mar 20, 2014
      • Assets in custody · $976,000 to $1.3M
        Dec 9, 2013 to Mar 20, 2014
      • Employees · 4 to 5
        Dec 9, 2013 to Mar 20, 2014
      • State-registered IARs · 0 to 1
        Dec 9, 2013 to Mar 20, 2014
      • Discretionary RAUM · $191M to $215M
        Dec 9, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · $48.7M to $50.0M
        Dec 9, 2013 to Mar 20, 2014
      • RAUM · $239M to $265M
        Dec 9, 2013 to Mar 20, 2014
      • Accounts · 296 to 343
        Dec 5, 2012 to Mar 12, 2013
      • Assets in custody · unset to 976000.0
        Dec 5, 2012 to Mar 12, 2013
      • Custody of client assets · false to true
        Dec 5, 2012 to Mar 12, 2013
      • Discretionary RAUM · $160M to $191M
        Dec 5, 2012 to Mar 12, 2013
      • Non-discretionary RAUM · $48.4M to $48.7M
        Dec 5, 2012 to Mar 12, 2013
      • RAUM · $208M to $239M
        Dec 5, 2012 to Mar 12, 2013
      • Advisory employees · unset to 2.0
        Mar 15, 2012 to Dec 5, 2012
      • Employees · unset to 4.0
        Mar 15, 2012 to Dec 5, 2012
      • State-registered IARs · unset to 0.0
        Mar 15, 2012 to Dec 5, 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