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••••• T•• O••••••• P•••••• C•••••• L••••••

Former SEC-registered adviserJersey, Channel Islands, CRD 111213SEC 801-52978IAPD
Legal name L••••• O••••••• P•••••• C•••••• L••••••
Latest filing Oct 10, 2013
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$69.6M
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
27
6 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$69.6M as of Mar 28, 2013
Mar 30, 2012$66.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 27
Private funds: no history
RAUM +4.0% over the last fiscal year
Practice profile
derived from the filing of Oct 10, 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
$915,181derivedRAUM 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
+4.0%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • controlled by a public reporting company (10.A)
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
76reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • B••••••••• G••• · Directorcontrol
        since 09/2008 · owns less than 5%
      • H•••• A••••• · Directorcontrol
        since 03/2007 · owns less than 5%
      • L• M•••••••• M••••••• C••••••• · Directorcontrol
        since 01/1997 · owns less than 5%
      • M••••••••• S••••• R••• · Directorcontrol
        since 09/2008 · owns less than 5%
      • C••••••• M•••••• · Chief Compliance Officer
        since 11/2001 · owns less than 5%
      Entity owners
      • L••••• T•• O••••••• L•••••• · Parent Company
        direct · owns 75% or more
      • L••••• B••• S••••••••• L•••••• · Uk Holding Company
        indirect · owns 75% or more of L••••• T•• O••••••• H••••••• L••••••
      • L••••• B•••••• G•••• P•• · Uk Ultimate Parent
        indirect · owns 75% or more of L••••• T•• B••• P•• · public reporting company
      • L••••• T•• B••• P•• · Uk Holding Company
        indirect · owns 75% or more of L••••• B••• S••••••••• L••••••
      • L••••• T•• O••••••• H••••••• L•••••• · Jersey Holding Company
        indirect · owns 75% or more of L••••• T•• O••••••• L••••••
      • U• F•••••••• I••••••••• L•••••• · British Government
        indirect · owns 25% to 50% of L••••• B•••••• G•••• P••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Legal name · L••••• T•• O••••••• P•••••• C•••••• L•••••• to L••••• O••••••• P•••••• C•••••• L••••••
        Sep 25, 2013 to Oct 10, 2013
      • Accounts · 78 to 76
        Feb 11, 2013 to Mar 28, 2013
      • Employees · 33 to 27
        Feb 11, 2013 to Mar 28, 2013
      • Discretionary RAUM · $66.9M to $69.6M
        Feb 11, 2013 to Mar 28, 2013
      • RAUM · $66.9M to $69.6M
        Feb 11, 2013 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Aug 17, 2012 to Feb 11, 2013
      • Employees · unset to 33.0
        Aug 17, 2012 to Feb 11, 2013
      • State-registered IARs · unset to 0.0
        Aug 17, 2012 to Feb 11, 2013
      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