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•• A••••••••• L•••

Former SEC-registered adviserGreat Neck, New YorkCRD 121231SEC 801-110896IAPD
Latest filing Jun 29, 2020
First filing on the tape Jun 27, 2017 · 6 filings
RAUM
$42.4M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
97%
$40.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$42.4M as of Mar 30, 2020
Mar 28, 2018$38.8M then
HNW client RAUM$13.9M as of Mar 30, 2020
Mar 28, 2018$36.0M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20180 then
Employees (5.A)1 as of Mar 30, 2020
Mar 28, 20181 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
$2.0MderivedHNW RAUM over HNW clients
Average account
$543,343derivedRAUM over accounts (5.F.2.f)
Discretionary
40%derivedof RAUM
Institutional
3.4%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
+19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-24%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
Custody
$63,098, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$27.1M64%
  • High-net-worth individuals$13.9M33%
  • Pension and profit-sharing plans$1.5M3.4%
Individual clients
15reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
78reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$63,098 for 1 clientsreported
Compensation
% of AUM, hourlyreported
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
      • N•••••• L•••• R•••• · President/Ccocontrol
        since 07/1999 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 75 to 78
        Mar 25, 2019 to Mar 30, 2020
      • HNW clients · 23 to 7
        Mar 25, 2019 to Mar 30, 2020
      • Individual clients · 6 to 15
        Mar 25, 2019 to Mar 30, 2020
      • Assets in custody · $889,030 to $63,098
        Mar 25, 2019 to Mar 30, 2020
      • Discretionary RAUM · $10.4M to $17.0M
        Mar 25, 2019 to Mar 30, 2020
      • HNW RAUM · $33.8M to $13.9M
        Mar 25, 2019 to Mar 30, 2020
      • Individual RAUM · $800,458 to $27.1M
        Mar 25, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $25.4M to $25.3M
        Mar 25, 2019 to Mar 30, 2020
      • Pension RAUM · $1.2M to $1.5M
        Mar 25, 2019 to Mar 30, 2020
      • RAUM · $35.8M to $42.4M
        Mar 25, 2019 to Mar 30, 2020
      • Accounts · 74 to 75
        Mar 28, 2018 to Mar 25, 2019
      • HNW clients · 16 to 23
        Mar 28, 2018 to Mar 25, 2019
      • Individual clients · 7 to 6
        Mar 28, 2018 to Mar 25, 2019
      • Assets in custody · $6.1M to $889,030
        Mar 28, 2018 to Mar 25, 2019
      • HQ city · LAKE SUCCESS to GREAT NECK
        Mar 28, 2018 to Mar 25, 2019
      • Discretionary RAUM · $11.5M to $10.4M
        Mar 28, 2018 to Mar 25, 2019
      • HNW RAUM · $36.0M to $33.8M
        Mar 28, 2018 to Mar 25, 2019
      • Individual RAUM · $2.0M to $800,458
        Mar 28, 2018 to Mar 25, 2019
      • Non-discretionary RAUM · $27.3M to $25.4M
        Mar 28, 2018 to Mar 25, 2019
      • Pension RAUM · $763,898 to $1.2M
        Mar 28, 2018 to Mar 25, 2019
      • RAUM · $38.8M to $35.8M
        Mar 28, 2018 to Mar 25, 2019
      • Accounts · 73 to 74
        Jun 29, 2017 to Mar 28, 2018
      • HNW clients · unset to 16.0
        Jun 29, 2017 to Mar 28, 2018
      • Individual clients · unset to 7.0
        Jun 29, 2017 to Mar 28, 2018
      • Assets in custody · unset to 6128495.0
        Jun 29, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Jun 29, 2017 to Mar 28, 2018
      • HQ city · unset to LAKE SUCCESS
        Jun 29, 2017 to Mar 28, 2018
      • HQ state · unset to NY
        Jun 29, 2017 to Mar 28, 2018
      • State-registered IARs · 1 to 0
        Jun 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Jun 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $10.8M to $11.5M
        Jun 29, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 36015309.0
        Jun 29, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 2032992.0
        Jun 29, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $23.2M to $27.3M
        Jun 29, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 763898.0
        Jun 29, 2017 to Mar 28, 2018
      • RAUM · $33.9M to $38.8M
        Jun 29, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • L•• A••••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 27, 2017 · First SEC registration · fact
      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