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••• K••• C•••••• M••••••••• ••••••

Former SEC-registered adviserNew York, New YorkCRD 110487SEC 801-39572IAPD
Legal name L••• A•••••••• M••••••••• L•
Latest filing Dec 18, 2014
First filing on the tape Dec 23, 2011 · 10 filings
RAUM
$697M
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
25
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$697M as of Dec 18, 2014
Dec 23, 2011$452M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 18, 2014
Dec 20, 20120 then
Employees (5.A)25 as of Dec 18, 2014
Dec 20, 201227 then
Private funds2 as of Dec 12, 2013
Dec 23, 20112 then
RAUM +320% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 18, 2014; 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
$99.5MderivedRAUM 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
+320%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$370M, 1 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)
  • 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)
  • has custody of client securities (9.A.1.b)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$370M for 1 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••• A•••••••• F•••Hedge Fund$698M163Dec 23, 2011
      L••• A••• F•••• L•••Hedge Fund$12.7M21Dec 23, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• J••••• I••• · Chief Operating Officercontrol
        since 08/2013 · owns less than 5%
      • H••••••• D••••• S•••• · Chief Financial Officercontrol
        since 07/2008 · owns less than 5%
      • K••••••• T•••••• L•••• · Director And Chairman Of The Boardcontrol
        since 02/1985 · owns less than 5%
      • K•••• G•••••• J••••• · Director, Chief Executive Officer And Presidentcontrol
        since 01/2003 · owns less than 5%
      • S•••••••• R•••••• S•••• · General Counsel And Chief Compliance Officercontrol
        since 08/2012 · owns less than 5%
      • K••••••• T•••••• L•••• · Shareholdercontrol
        since 09/1976 · owns 50% to 75% of L••• H•••••• C•••••••••
      • K•••• G•••••• J••••• · General Partnercontrol
        since 03/2010 · owns 75% or more of L• P•••••••• L•••
      Entity owners
      • L• P•••••••• L••• · Limited Partner
        direct · owns 25% to 50%
      • L••• H•••••• C••••••••• · Limited Partner
        direct · owns 50% to 75%
      • L••• M••••••••• H•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list L••• K••• C•••••• M••••••••• •••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 7
        Jun 17, 2014 to Dec 18, 2014
      • Advisory employees · 12 to 10
        Jun 17, 2014 to Dec 18, 2014
      • BD registered reps · 4 to 2
        Jun 17, 2014 to Dec 18, 2014
      • Assets in custody · $396M to $370M
        Jun 17, 2014 to Dec 18, 2014
      • Employees · 27 to 25
        Jun 17, 2014 to Dec 18, 2014
      • Private funds · 2 to unset
        Jun 17, 2014 to Dec 18, 2014
      • Discretionary RAUM · $166M to $697M
        Jun 17, 2014 to Dec 18, 2014
      • RAUM · $166M to $697M
        Jun 17, 2014 to Dec 18, 2014
      • Accounts · 6 to 5
        Aug 2, 2013 to Dec 12, 2013
      • Advisory employees · 11 to 12
        Aug 2, 2013 to Dec 12, 2013
      • BD registered reps · 5 to 4
        Aug 2, 2013 to Dec 12, 2013
      • Assets in custody · $15.8M to $396M
        Aug 2, 2013 to Dec 12, 2013
      • Employees · 28 to 27
        Aug 2, 2013 to Dec 12, 2013
      • Discretionary RAUM · $124M to $166M
        Aug 2, 2013 to Dec 12, 2013
      • Non-discretionary RAUM · $294,163 to $0
        Aug 2, 2013 to Dec 12, 2013
      • RAUM · $124M to $166M
        Aug 2, 2013 to Dec 12, 2013
      • Accounts · 8 to 6
        Dec 20, 2012 to Aug 2, 2013
      • Advisory employees · 12 to 11
        Dec 20, 2012 to Aug 2, 2013
      • BD registered reps · 4 to 5
        Dec 20, 2012 to Aug 2, 2013
      • Assets in custody · $2.8M to $15.8M
        Dec 20, 2012 to Aug 2, 2013
      • Employees · 27 to 28
        Dec 20, 2012 to Aug 2, 2013
      • Financial planning clients · 0 to unset
        Dec 20, 2012 to Aug 2, 2013
      • Discretionary RAUM · $883M to $124M
        Dec 20, 2012 to Aug 2, 2013
      • Non-discretionary RAUM · $0 to $294,163
        Dec 20, 2012 to Aug 2, 2013
      • RAUM · $883M to $124M
        Dec 20, 2012 to Aug 2, 2013
      • Business name · L••• C•••••• M••••••••• to L••• K••• C•••••• M••••••••• ••••••
        Aug 2, 2013 to Aug 2, 2013
      • Accounts · 3 to 8
        Sep 6, 2012 to Dec 20, 2012
      • Advisory employees · unset to 12.0
        Sep 6, 2012 to Dec 20, 2012
      • BD registered reps · unset to 4.0
        Sep 6, 2012 to Dec 20, 2012
      • Assets in custody · $395M to $2.8M
        Sep 6, 2012 to Dec 20, 2012
      • Employees · unset to 27.0
        Sep 6, 2012 to Dec 20, 2012
      • State-registered IARs · unset to 0.0
        Sep 6, 2012 to Dec 20, 2012
      • Discretionary RAUM · $445M to $883M
        Sep 6, 2012 to Dec 20, 2012
      • RAUM · $445M to $883M
        Sep 6, 2012 to Dec 20, 2012
      • Advisory activities · 3 to 2
        Dec 23, 2011 to Mar 30, 2012
      • Assets in custody · $410M to $395M
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $452M to $445M
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $452M to $445M
        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