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••• K••• C•••••• M••••••••• ••••••

Former SEC-registered adviserNew York, New YorkCRD 123992SEC 801-78421IAPD
Legal name L••• O••••••• M••••••••• L•
Latest filing Dec 22, 2014
First filing on the tape Dec 23, 2011 · 7 filings
RAUM
$744M
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
25
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$743M gross assets
History
7 filings and snapshots on the tape
RAUM$744M as of Dec 22, 2014
Dec 23, 2011$236M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 22, 2014
Dec 12, 20130 then
Employees (5.A)25 as of Dec 22, 2014
Dec 12, 201327 then
Private funds1 as of Dec 22, 2014
Dec 23, 20112 then
RAUM +6.1% over the last fiscal year+47% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 22, 2014; 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
$372MderivedRAUM 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
+6.1%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 vehiclesreportedItem 5.G
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
2reported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••• A•••••••• O••••••• P••••••• L••Hedge Fund$743M150Dec 23, 2011
      L••• O••••••• F•••• L•••no longer reportedHedge Fund$238M62Mar 30, 2012
      L••• A••• O••••••• F•••• L•••no longer reportedHedge Fund$00Dec 23, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• J••••• I••• · Chief Operating Officercontrol
        since 08/2013 · owns less than 5%
      • H••••••• D••••• S•••• · Chief Financial Officercontrol
        since 07/2008 · owns less than 5%
      • K••••••• T•••••• L•••• · Director And Chairman Of The Boardcontrol
        since 10/2002 · owns less than 5%
      • K•••• G•••••• J••••• · Director , Chief Executive Officer And Presidentcontrol
        since 10/2002 · owns less than 5%
      • S•••••••• R•••••• S•••• · General Counsel And Chief Compliance Officercontrol
        since 08/2012 · owns less than 5%
      • K••••••• T•••••• L•••• · Shareholdercontrol
        since 04/1982 · owns 50% to 75% of L••• H•••••• C•••••••••
      • K•••• G•••••• J••••• · General Partnercontrol
        since 03/2010 · owns 75% or more of L• P•••••••• L•••
      Entity owners
      • L• P•••••••• L••• · Limited Partner
        direct · owns 25% to 50%
      • L••• H•••••• C••••••••• · Limited Partner
        direct · owns 50% to 75%
      • L••• M••••••••• H•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list L••• K••• C•••••• M••••••••• •••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 10
        Jun 17, 2014 to Dec 22, 2014
      • BD registered reps · 4 to 2
        Jun 17, 2014 to Dec 22, 2014
      • Employees · 27 to 25
        Jun 17, 2014 to Dec 22, 2014
      • Discretionary RAUM · $701M to $744M
        Jun 17, 2014 to Dec 22, 2014
      • RAUM · $701M to $744M
        Jun 17, 2014 to Dec 22, 2014
      • Advisory employees · 11 to 12
        Aug 2, 2013 to Dec 12, 2013
      • BD registered reps · 5 to 4
        Aug 2, 2013 to Dec 12, 2013
      • Business name · L••• C•••••• M••••••••• to L••• K••• C•••••• M••••••••• ••••••
        Aug 2, 2013 to Dec 12, 2013
      • Employees · 28 to 27
        Aug 2, 2013 to Dec 12, 2013
      • Discretionary RAUM · $654M to $701M
        Aug 2, 2013 to Dec 12, 2013
      • RAUM · $654M to $701M
        Aug 2, 2013 to Dec 12, 2013
      • Accounts · 4 to 2
        Sep 6, 2012 to Aug 2, 2013
      • Advisory employees · unset to 11.0
        Sep 6, 2012 to Aug 2, 2013
      • Advisory activities · 2 to 1
        Sep 6, 2012 to Aug 2, 2013
      • BD registered reps · unset to 5.0
        Sep 6, 2012 to Aug 2, 2013
      • Employees · unset to 28.0
        Sep 6, 2012 to Aug 2, 2013
      • Financial planning clients · 0 to unset
        Sep 6, 2012 to Aug 2, 2013
      • State-registered IARs · unset to 0.0
        Sep 6, 2012 to Aug 2, 2013
      • Private funds · 2 to 1
        Sep 6, 2012 to Aug 2, 2013
      • Discretionary RAUM · $611M to $654M
        Sep 6, 2012 to Aug 2, 2013
      • RAUM · $611M to $654M
        Sep 6, 2012 to Aug 2, 2013
      • Private funds · 3 to 2
        Mar 30, 2012 to Sep 6, 2012
      • Accounts · 2 to 4
        Dec 23, 2011 to Mar 30, 2012
      • Private funds · 2 to 3
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $236M to $611M
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $236M to $611M
        Dec 23, 2011 to Mar 30, 2012
      Signals
      1 dated events
      • L••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Aug 2, 2013 · 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