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••••• C•••••• M••••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 111543SEC 801-57324IAPD
Latest filing Feb 28, 2014
First filing on the tape Mar 17, 2012 · 8 filings
RAUM
$197M
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
8
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$11.4M gross assets
History
8 filings and snapshots on the tape
RAUM$197M as of Feb 28, 2014
Mar 17, 2012$363M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 28, 2014
Mar 21, 20135 then
Employees (5.A)8 as of Feb 28, 2014
Mar 21, 20137 then
Private funds1 as of Feb 28, 2014
Mar 17, 20122 then
RAUM -13% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Feb 28, 2014; every figure names its basis
RAUM per advisor
$49.2MderivedRAUM 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
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$11.4M, 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
124reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$11.4M 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    L•• G••••••• D••••••••• F••• I• L•••Hedge Fund$11.4M20Mar 17, 2012
    L•• G••••••• D••••••••• O••••••• F••• I• L••no longer reportedHedge Fund$6.3M24Mar 17, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• R•••••• S•••• · Managing Member/Chief Investment Officercontrol
      since 02/2000 · owns 75% or more
    • L••• J••••••• F••••••• · Chief Compliance Officercontrol
      since 05/2013 · owns less than 5%
    • T••••••• N••••• E••••• · Chief Financial Officercontrol
      since 02/2010 · owns less than 5%
    Related persons
    Schedule D 7.A
    • L••••• C•••••• M••••••••• •••• C••••
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 160 to 124
      Sep 13, 2013 to Feb 28, 2014
    • Assets in custody · $15.8M to $11.4M
      Sep 13, 2013 to Feb 28, 2014
    • Employees · 7 to 8
      Sep 13, 2013 to Feb 28, 2014
    • State-registered IARs · 5 to 4
      Sep 13, 2013 to Feb 28, 2014
    • Discretionary RAUM · $222M to $197M
      Sep 13, 2013 to Feb 28, 2014
    • Non-discretionary RAUM · $4.1M to $0
      Sep 13, 2013 to Feb 28, 2014
    • RAUM · $226M to $197M
      Sep 13, 2013 to Feb 28, 2014
    • Accounts · 229 to 160
      Oct 8, 2012 to Mar 21, 2013
    • Advisory employees · unset to 2.0
      Oct 8, 2012 to Mar 21, 2013
    • Assets in custody · $13.4M to $15.8M
      Oct 8, 2012 to Mar 21, 2013
    • Employees · unset to 7.0
      Oct 8, 2012 to Mar 21, 2013
    • Financial planning clients · 0 to unset
      Oct 8, 2012 to Mar 21, 2013
    • State-registered IARs · unset to 5.0
      Oct 8, 2012 to Mar 21, 2013
    • Discretionary RAUM · $359M to $222M
      Oct 8, 2012 to Mar 21, 2013
    • Non-discretionary RAUM · $3.5M to $4.1M
      Oct 8, 2012 to Mar 21, 2013
    • RAUM · $363M to $226M
      Oct 8, 2012 to Mar 21, 2013
    • Assets in custody · $31.9M to $13.4M
      Jul 26, 2012 to Aug 28, 2012
    • Private funds · 2 to 1
      Mar 17, 2012 to Jul 26, 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