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•••••••• P•••••• I••••••••• A••••••• G••••

Former SEC-registered adviserColumbus, OhioCRD 112008SEC 801-55556IAPD
Legal name L•••••••• P•••••• A•••• M••••••••• L••
Latest filing Sep 29, 2015
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$169M
reported, Item 5.F
Discretionary
33%
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$169M as of Mar 19, 2015
Mar 29, 2012$355M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 19, 2015
Mar 25, 20134 then
Employees (5.A)5 as of Mar 19, 2015
Mar 25, 20134 then
Private funds: no history
RAUM -46% over the last fiscal year-22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 29, 2015; every figure names its basis
RAUM per advisor
$42.3MderivedRAUM 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
$10.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
33%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-46%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 assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • 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
17reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• W••••••• M•••••• · Presidentcontrol
    since 06/2006 · owns less than 5%
  • G••••• T•••••• R••••• · Managercontrol
    since 09/2013 · owns less than 5%
  • P••••••• T•••••• B•••• · Managercontrol
    since 09/2013 · owns less than 5%
  • C••••• J••••• D••••• · Managing Membercontrol
    since 12/2008 · owns 75% or more of J• T•••••• V• L••
  • D••••• C••••••• A••••• · Managing Membercontrol
    since 12/2008 · owns 75% or more of C• T•••••• V• L••
  • G••••• T•••••• R••••• · Shareholdercontrol
    since 09/2013 · owns 50% to 75% of T•••• L•• I•••
  • G••••• T•••••• R••••• · Managercontrol
    since 09/2013 · owns F of L•••••••• P•••••• H•••••••• L••
  • K•••• A•••• S•••••• · Managercontrol
    since 09/2013 · owns F of L•••••••• P•••••• H•••••••• L••
  • L••••• S••••••• A••• · Managercontrol
    since 09/2013 · owns F of L•••••••• P•••••• H•••••••• L••
  • P••••••• T•••••• B•••• · Managercontrol
    since 09/2013 · owns F of L•••••••• P•••••• H•••••••• L••
  • P••••••• T•••••• B•••• · Shareholdercontrol
    since 09/2013 · owns 50% to 75% of T•••• L•• I•••
  • W••••••• D••••• J•• · Managing Membercontrol
    since 12/2008 · owns 75% or more of D• T•••••• V• L••
  • Z•••••• N••••••• D•••• · Managing Membercontrol
    since 12/2008 · owns 75% or more of N• T•••••• V• L••
  • W•••••• T••••••• D• · Chief Compliance Officer
    since 03/2014 · owns less than 5%
Entity owners
  • L•••••••• P•••••• H•••••••• L•• · Member
    direct · owns 75% or more
  • C• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V•••• L•••
  • C• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V• L•••
  • D• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V•••• L•••
  • D• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V• L•••
  • J• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V•••• L•••
  • J• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V• L•••
  • N• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V• L•••
  • N• T•••••• V• L•• · General Partner
    indirect · owns F of T•••••• C•••••• V•••• L•••
  • T•••• L•• I••• · Member
    indirect · owns 25% to 50% of L•••••••• P•••••• H•••••••• L••
  • T•••••• C•••••• V•••• L••• · General Partner
    indirect · owns F of T•••••• V• P••••••• F•••• L•••
  • T•••••• C•••••• V• L••• · General Partner
    indirect · owns F of T•••••• V• L•••
  • T•••••• L•••••••• H••••••• I••• · Member
    indirect · owns 25% to 50% of T•••••• L•••••••• Holdings LLC
  • T•••••• L•••••••• H•••••••• L•• · Member
    indirect · owns 50% to 75% of L•••••••• P•••••• H•••••••• L••
  • T•••••• V• P••••••• F•••• L••• · Shareholder
    indirect · owns 75% or more of T•••••• L•••••••• H••••••• I•••
  • T•••••• V• L••• · Managing Member
    indirect · owns 50% to 75% of T•••••• L•••••••• Holdings LLC
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 · 18 to 17
    Mar 28, 2014 to Mar 19, 2015
  • Advisory employees · 4 to 5
    Mar 28, 2014 to Mar 19, 2015
  • Advisory activities · 4 to 3
    Mar 28, 2014 to Mar 19, 2015
  • Discretionary RAUM · $208M to $55.7M
    Mar 28, 2014 to Mar 19, 2015
  • Non-discretionary RAUM · $108M to $114M
    Mar 28, 2014 to Mar 19, 2015
  • RAUM · $316M to $169M
    Mar 28, 2014 to Mar 19, 2015
  • Accounts · 29 to 18
    Oct 30, 2013 to Mar 28, 2014
  • Employees · 4 to 5
    Oct 30, 2013 to Mar 28, 2014
  • Discretionary RAUM · $116M to $208M
    Oct 30, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $280M to $108M
    Oct 30, 2013 to Mar 28, 2014
  • RAUM · $396M to $316M
    Oct 30, 2013 to Mar 28, 2014
  • Related adviser · true to false
    Oct 30, 2013 to Mar 28, 2014
  • Related adviser · false to true
    Sep 27, 2013 to Oct 30, 2013
  • Accounts · 33 to 29
    Mar 29, 2012 to Mar 25, 2013
  • Advisory employees · unset to 4.0
    Mar 29, 2012 to Mar 25, 2013
  • BD registered reps · unset to 4.0
    Mar 29, 2012 to Mar 25, 2013
  • Employees · unset to 4.0
    Mar 29, 2012 to Mar 25, 2013
  • State-registered IARs · unset to 4.0
    Mar 29, 2012 to Mar 25, 2013
  • Discretionary RAUM · $124M to $116M
    Mar 29, 2012 to Mar 25, 2013
  • Non-discretionary RAUM · $231M to $280M
    Mar 29, 2012 to Mar 25, 2013
  • RAUM · $355M to $396M
    Mar 29, 2012 to Mar 25, 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