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

E••••••• E••••••• M••••••

Former SEC-registered adviserLondon, CRD 109313SEC 801-57655IAPD
Legal name L••• M•••• I••••••••• E••••••• L••••••
Latest filing Jun 27, 2013
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$698M
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
20
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$698M as of Jun 27, 2013
Jun 27, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 27, 2013
Jun 27, 20120 then
Employees (5.A): 20
Private funds: no history
RAUM -70% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 2013; 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
$116MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-70%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 businesses and institutions, portfolio management for investment companiesreportedItem 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)
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
6reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• J•• · Directorcontrol
        since 05/2006 · owns less than 5%
      • L•••••••• J•••••• P•••••• · Non Executive Directorcontrol
        since 02/2009 · owns less than 5%
      • N•••••••• P••••• H••••••• · Non-Executive Directorcontrol
        since 07/2011 · owns less than 5%
      • T••••••••• S••••••• •••••••• · Directorcontrol
        since 12/2012 · owns less than 5%
      • E•••••• J•••••••• M•••• · General C••••••
        since 10/2010 · owns less than 5%
      Entity owners
      • L• I••••••••• H•••••• L• · 100% Shareholder
        direct · owns 75% or more
      • L••• M•••• I••••••••• H••••••• I• L•• · 99.99% Shareholder
        indirect · owns 75% or more of L• I••••••••• H•••••• L•
      • L••• M••••• I•• · 100% Shareholder
        indirect · owns 75% or more of L••• M•••• I••••••••• H••••••• I• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • L••• M•••• A•••• M••••••••• •••••• C••• L•••
        investment advisern
      • L••• M•••• A•••• M••••••••• A•••••••• L••••••
        investment advisern
      • L••• M•••• A•••• M••••••••• S•••••••• P••• ••••••
        investment advisern
      • L••• M•••• C••••• I•••
        investment advisern
      • Qs L••• M•••• G••••• A•••• A••••••••• L••
        investment adviserbanknRAUM $8.9B
      • E••••••• E••••••• M••••••
        investment advisernRAUM $147M
      • L••• M•••• I••••••••• C•••••• • T••••• N•••
        n
      • L••• M•••• I••••••••• ••••••• L••••••
        investment advisern
      • L••• M•••• I••••••••• •••••••• L••••••
        investment advisern
      • L••• M•••• I••••••••• ••••••••• S•••
        investment advisern
      • L••• M•••• I••••••••• ••••••• L••••••
        investment advisern
      • L••• M•••• I••••••• S•••••••• L••
        broker-dealern
      • Franklin Templeton Fund Adviser, LLC
        investment adviserbanknRAUM $167B
      Advisers that list E••••••• E••••••• M•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 11
        Apr 30, 2013 to Jun 27, 2013
      • Employees · 18 to 20
        Apr 30, 2013 to Jun 27, 2013
      • Accounts · 14 to 6
        Jan 8, 2013 to Apr 30, 2013
      • Advisory employees · 12 to 9
        Jan 8, 2013 to Apr 30, 2013
      • Employees · 21 to 18
        Jan 8, 2013 to Apr 30, 2013
      • Discretionary RAUM · $1.9B to $698M
        Jan 8, 2013 to Apr 30, 2013
      • RAUM · $1.9B to $698M
        Jan 8, 2013 to Apr 30, 2013
      • Advisory employees · unset to 12.0
        Oct 5, 2012 to Jan 8, 2013
      • Employees · unset to 21.0
        Oct 5, 2012 to Jan 8, 2013
      • Accounts · 15 to 14
        Jun 27, 2012 to Oct 5, 2012
      • Discretionary RAUM · $2.3B to $1.9B
        Jun 27, 2012 to Oct 5, 2012
      • RAUM · $2.3B to $1.9B
        Jun 27, 2012 to Oct 5, 2012
      • Accounts · 16 to 15
        Mar 30, 2012 to Jun 27, 2012
      • Discretionary RAUM · $2.0B to $2.3B
        Mar 30, 2012 to Jun 27, 2012
      • RAUM · $2.0B to $2.3B
        Mar 30, 2012 to Jun 27, 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