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•••••• I••••••••• M••••••••• S••••••••• B•••
Latest filing Jun 29, 2015
First filing on the tape Mar 7, 2012 · 6 filings
RAUM
$2.0B
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
10
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$2.0B as of Mar 24, 2015
Mar 7, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2015
Mar 7, 20120 then
Employees (5.A)10 as of Mar 24, 2015
Mar 22, 201311 then
Private funds: no history
RAUM +3.0% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2015; 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
- $123MderivedRAUM 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
- +3.0%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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
- 16reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B••••• · Directorcontrolsince 03/2011 · owns less than 5%
- B••••• P•••• · Directorcontrolsince 12/2008 · owns less than 5%
- D••••••• D•••• · Chief Compliance Officercontrolsince 07/2007 · owns less than 5%
- R•••• G••••• · Chief Legal Officercontrolsince 09/2003 · owns less than 5%
- Z••••••••• P•••• · Directorcontrolsince 05/2015 · owns less than 5%
Entity owners
- L•••••• F••• M••••••••• B• · Direct Ownerdirect · owns 75% or more
- J•••• L••• L•••••• I••••••••• · Shareholderindirect · owns 75% or more of J•••• L••• L•••••• I••••••••• I••• · public reporting company
- J•••• L••• L•••••• I••••••••• I••• · Shareholderindirect · owns 75% or more of L•••••• Fund Management B.V.
Related persons
Schedule D 7.A
- L•••••• F•••• M•••••••••investment adviserpooled vehicle sponsorn
- L•••••• F•••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- L•••••• G•••investment adviserpooled vehicle sponsorn
- L•••••• I••••••••• M•••••••••investment adviserpooled vehicle sponsorn
- L•••••• I••••••••• M••••••••• K•investment adviserinvestment companyn
- L•••••• I••••••••• M••••••••• S••••••••• H••• K••• L••••••investment advisery
- L•••••• I••••••••• M••••••••• S•••••••••investment adviseryRAUM $3.3B
- L•••••• I••••••••• M•••••••••investment adviserpooled vehicle sponsornRAUM $11B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 24 to 16Sep 30, 2014 to Mar 24, 2015
- Advisory employees · 11 to 9Sep 30, 2014 to Mar 24, 2015
- Advisory activities · 1 to 2Sep 30, 2014 to Mar 24, 2015
- Employees · 11 to 10Sep 30, 2014 to Mar 24, 2015
- Discretionary RAUM · $1.9B to $2.0BSep 30, 2014 to Mar 24, 2015
- RAUM · $1.9B to $2.0BSep 30, 2014 to Mar 24, 2015
- Discretionary RAUM · $1.5B to $1.9BMar 22, 2013 to Mar 28, 2014
- RAUM · $1.5B to $1.9BMar 22, 2013 to Mar 28, 2014
- Advisory employees · unset to 11.0Mar 7, 2012 to Mar 22, 2013
- Accounts · 29 to 24Mar 7, 2012 to Mar 22, 2013
- Employees · unset to 11.0Mar 7, 2012 to Mar 22, 2013
- Discretionary RAUM · $1.9B to $1.5BMar 7, 2012 to Mar 22, 2013
- RAUM · $1.9B to $1.5BMar 7, 2012 to Mar 22, 2013
- Related bank · false to trueMar 7, 2012 to Mar 22, 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