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Former SEC-registered adviser

L••••• B••••••• P•••••• E••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 112468SEC 801-60352IAPD
Latest filing Mar 26, 2020
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$51.0M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$51.0M as of Mar 26, 2020
Mar 30, 2012$686M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 30, 20120 then
Employees (5.A)2 as of Mar 26, 2020
Feb 28, 201310 then
Private funds9 as of Mar 27, 2015
Mar 30, 20129 then
RAUM -17% over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2020; 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
$4.3MderivedRAUM 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
-17%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, selection of other advisersreportedItem 5.G
Custody
$342M, 33 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)
  • 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
  • Pooled investment vehicles$51.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$342M for 33 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••• B••••••• M•• O••••••••• F••• L•••no longer reportedHedge Fund$60.4M515Mar 30, 2012
      L••••• B••••••• M•• O••••••••• D••••••• F••• L•••no longer reportedHedge Fund$54.8M270Mar 30, 2012
      Z••••• 2•••••• L••no longer reportedHedge Fund$3.2M3Mar 30, 2012
      L••••• B••••••• O••••••• C••••••••• P••••••• L•no longer reportedHedge Fund$826,00718Mar 30, 2012
      L••••• B••••••• C••••••••• P••••••• L•no longer reportedHedge Fund$481,73035Mar 30, 2012
      L••••• B••••••• O••••••• C••••••••• F••• L•no longer reportedHedge Fund$195,912176Mar 30, 2012
      L••••• B••••••• C••••••••• F••• L•no longer reportedHedge Fund$1,130375Mar 30, 2012
      L••••• B••••••• C••••••••• I•••••••• L• ••••••no longer reportedHedge Fund$1082Mar 30, 2012
      L••••• B••••••• V•••••• P••••••• L•no longer reportedHedge Fund$0163Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• B••••• R•••••• · Chief Compliance Officer, Member Of Board Of Managers, And Vice President
        since 01/2014 · owns less than 5%
      Entity owners
      • L••••• B••••••• H••••••• I•• · Member
        direct · owns 75% or more
      • L••••• B••••••• H••••••• I••• P••• T•••• · Sole Shareholder
        indirect · owns 75% or more of L••••• B••••••• H••••••• I••.
      Related persons
      Schedule D 7.A
      Advisers that list L••••• B••••••• P•••••• E••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 12
        Mar 28, 2019 to Mar 26, 2020
      • Pooled vehicle clients · 14 to 12
        Mar 28, 2019 to Mar 26, 2020
      • Assets in custody · $462M to $342M
        Mar 28, 2019 to Mar 26, 2020
      • Discretionary RAUM · $61.3M to $51.0M
        Mar 28, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $61.3M to $51.0M
        Mar 28, 2019 to Mar 26, 2020
      • RAUM · $61.3M to $51.0M
        Mar 28, 2019 to Mar 26, 2020
      • Accounts · 21 to 14
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 21 to 14
        Mar 28, 2018 to Mar 28, 2019
      • Assets in custody · $664M to $462M
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $177M to $61.3M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $177M to $61.3M
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $177M to $61.3M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 21.0
        Sep 27, 2017 to Mar 28, 2018
      • Assets in custody · $717M to $664M
        Sep 27, 2017 to Mar 28, 2018
      • Employees · 3 to 2
        Sep 27, 2017 to Mar 28, 2018
      • Financial planning clients · unset to 0
        Sep 27, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Sep 27, 2017 to Mar 28, 2018
      • Discretionary RAUM · $194M to $177M
        Sep 27, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 177241147.0
        Sep 27, 2017 to Mar 28, 2018
      • RAUM · $194M to $177M
        Sep 27, 2017 to Mar 28, 2018
      • Assets in custody · $841M to $717M
        Mar 23, 2017 to Sep 27, 2017
      • Discretionary RAUM · $245M to $194M
        Mar 23, 2017 to Sep 27, 2017
      • RAUM · $245M to $194M
        Mar 23, 2017 to Sep 27, 2017
      • Accounts · 23 to 21
        Mar 29, 2016 to Mar 23, 2017
      • Advisory employees · 2 to 1
        Mar 29, 2016 to Mar 23, 2017
      • Assets in custody · $1.3B to $841M
        Mar 29, 2016 to Mar 23, 2017
      • Employees · 4 to 3
        Mar 29, 2016 to Mar 23, 2017
      • Discretionary RAUM · $290M to $245M
        Mar 29, 2016 to Mar 23, 2017
      • RAUM · $290M to $245M
        Mar 29, 2016 to Mar 23, 2017
      • Related broker-dealer · true to false
        Mar 29, 2016 to Mar 23, 2017
      • Accounts · 37 to 23
        Mar 27, 2015 to Mar 29, 2016
      • Assets in custody · $1.9B to $1.3B
        Mar 27, 2015 to Mar 29, 2016
      • Employees · 5 to 4
        Mar 27, 2015 to Mar 29, 2016
      • Private funds · 9 to unset
        Mar 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $413M to $290M
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $413M to $290M
        Mar 27, 2015 to Mar 29, 2016
      • Assets in custody · $2.2B to $1.9B
        Mar 25, 2014 to Mar 27, 2015
      • Discretionary RAUM · $458M to $413M
        Mar 25, 2014 to Mar 27, 2015
      • RAUM · $458M to $413M
        Mar 25, 2014 to Mar 27, 2015
      • Advisory employees · 4 to 2
        Jan 16, 2014 to Feb 28, 2014
      Signals
      1 dated events
      • L••••• B••••••• P•••••• E••••• A••••••• L•• reported RAUM $61.3M, down 65% from $177.2M (2018-03-28 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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