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••••• B••••••• P•••••• F••• A•••••••• L•
Latest filing Mar 18, 2020
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$20.7M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$20.7M as of Mar 18, 2020
Mar 30, 2012$281M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2020
Mar 30, 20120 then
Employees (5.A)1 as of Mar 18, 2020
Feb 28, 20136 then
Private funds4 as of Mar 28, 2018
Mar 30, 201217 then
RAUM -11% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $20.7MderivedRAUM 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
- -11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $10.2M, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$20.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.2M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• 1••• S••••• P•••••• I••••••••• P•••••••• A• L•••no longer reported | Hedge Fund | $7.5M | 15 | Mar 30, 2012 |
| C••••••••• 1••• A•••• A••••••••• I• L•••no longer reported | Hedge Fund | $5.5M | 10 | Mar 30, 2012 |
| C••••••••• P•••••• E•••••• L•••no longer reported | Hedge Fund | $2.6M | 5 | Mar 30, 2012 |
| C••••••••• 1••• V•••••• C•••••• I• L•••no longer reported | Hedge Fund | $2.2M | 8 | Mar 30, 2012 |
| C••••••••• 1••• A•••• A••••••••• I•• L•••no longer reported | Hedge Fund | $2.0M | 5 | Mar 30, 2012 |
| C••••••••• C••••••••• P•••••• E••••• X•• L•••no longer reported | Hedge Fund | $1.4M | 16 | Mar 30, 2012 |
| C••••••••• 1••• V•••••• C•••••• P•••••••• I• L•••no longer reported | Hedge Fund | $1.3M | 8 | Mar 30, 2012 |
| C••••••••• C••••••••• P•••••• E••••• X•••• L•••no longer reported | Hedge Fund | $1.3M | 11 | Mar 30, 2012 |
| T•• O•• P•••••• E••••• F••• C••••••• L•••no longer reported | Hedge Fund | $902,971 | 20 | Mar 30, 2012 |
| C••••••••• C••••••••• D••••••••• V• L•••no longer reported | Hedge Fund | $677,755 | 5 | Mar 30, 2012 |
| C••••••••• 1••• B•• O••••••••• I• L•••no longer reported | Hedge Fund | $554,021 | 6 | Mar 30, 2012 |
| C••••••••• 1••• S••••• D••••••••• A• L•••no longer reported | Hedge Fund | $238,155 | 13 | Mar 30, 2012 |
| C••••••••• 1••• E••••••• P•••••• E••••• I• L•••no longer reported | Hedge Fund | $152,510 | 7 | Mar 30, 2012 |
| C••••••••• C••••••••• P•••••• E••••• X•••• L•••no longer reported | Hedge Fund | $111,896 | 5 | Mar 30, 2012 |
| C••••••••• C•••••• I• L•••••• P•••••••••no longer reported | Hedge Fund | $70,178 | 10 | Mar 30, 2012 |
| C••••••••• D•• L•••••• P•••••••••no longer reported | Hedge Fund | $34,757 | 3 | Mar 30, 2012 |
| C••••••••• C•••••• I•• L•••••• P•••••••••no longer reported | Hedge Fund | $0 | 3 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• B••••• R•••••• · D•••••Or Of The General Partner, Vice President Of The General Partner, And Ccosince 06/2016 · owns less than 5%
Entity owners
- L••••• B••••••• P•••••• F••• A••••••• G•• L•• · General Partnerdirect · owns less than 5%
- L••••• B••••••• P•••••• F•••• I••••••••• C•••••• L•• L•• · L•••••• Partnerdirect · owns 75% or more
- L••••• B••••••• H••••••• I••• · Sole Memberindirect · owns 75% or more of L••••• B••••••• P•••••• F•••• I••••••••• C•••••• G•• L••
- L••••• B••••••• H••••••• I••• · Sole Memberindirect · owns 75% or more of L••••• B••••••• P•••••• F•••• I••••••••• C•••••• L•• L••
- L••••• B••••••• H••••••• I••• P••• T•••• · Sole Shareholderindirect · owns 75% or more of L••••• B••••••• H••••••• I•••
- L••••• B••••••• P•••••• F•••• I••••••••• C•••••• G•• L•• · Sole Memberindirect · owns 75% or more of L••••• B••••••• P•••••• F••• A••••••• G•• L••
Related persons
Schedule D 7.A
- L••••• B••••••• P•••••• E••••• A••••••• L••investment advisernRAUM $51.0M
- L••••• B••••••• P•••••• F••• M••••••••• L•investment adviserpooled vehicle sponsornRAUM $20.7M
Advisers that list L••••• B••••••• P•••••• F••• A•••••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $12.8M to $10.2MMar 26, 2019 to Mar 18, 2020
- Discretionary RAUM · $23.3M to $20.7MMar 26, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $23.3M to $20.7MMar 26, 2019 to Mar 18, 2020
- RAUM · $23.3M to $20.7MMar 26, 2019 to Mar 18, 2020
- Accounts · 8 to 1Mar 28, 2018 to Mar 26, 2019
- Pooled vehicle clients · 8 to 1Mar 28, 2018 to Mar 26, 2019
- Assets in custody · $25.4M to $12.8MMar 28, 2018 to Mar 26, 2019
- Private funds · 4 to unsetMar 28, 2018 to Mar 26, 2019
- Discretionary RAUM · $39.9M to $23.3MMar 28, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $39.9M to $23.3MMar 28, 2018 to Mar 26, 2019
- RAUM · $39.9M to $23.3MMar 28, 2018 to Mar 26, 2019
- Accounts · 19 to 8Sep 26, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 8.0Sep 26, 2017 to Mar 28, 2018
- Assets in custody · $51.2M to $25.4MSep 26, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Sep 26, 2017 to Mar 28, 2018
- Private funds · 15 to 4Sep 26, 2017 to Mar 28, 2018
- Discretionary RAUM · $66.5M to $39.9MSep 26, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 39948519.0Sep 26, 2017 to Mar 28, 2018
- RAUM · $66.5M to $39.9MSep 26, 2017 to Mar 28, 2018
- Assets in custody · $59.3M to $51.2MMar 22, 2017 to Sep 26, 2017
- Discretionary RAUM · $74.6M to $66.5MMar 22, 2017 to Sep 26, 2017
- RAUM · $74.6M to $66.5MMar 22, 2017 to Sep 26, 2017
- Advisory employees · 2 to 1Jun 30, 2016 to Mar 22, 2017
- Assets in custody · $68.9M to $59.3MJun 30, 2016 to Mar 22, 2017
- Employees · 2 to 1Jun 30, 2016 to Mar 22, 2017
- Discretionary RAUM · $84.3M to $74.6MJun 30, 2016 to Mar 22, 2017
- RAUM · $84.3M to $74.6MJun 30, 2016 to Mar 22, 2017
- Related broker-dealer · true to falseJun 30, 2016 to Mar 22, 2017
- Assets in custody · $82.4M to $68.9MMar 24, 2016 to Jun 28, 2016
- Discretionary RAUM · $95.3M to $84.3MMar 24, 2016 to Jun 28, 2016
- RAUM · $95.3M to $84.3MMar 24, 2016 to Jun 28, 2016
- Accounts · 21 to 19Mar 31, 2015 to Mar 24, 2016
- Assets in custody · $101M to $82.4MMar 31, 2015 to Mar 24, 2016
- Private funds · 17 to 15Mar 31, 2015 to Mar 24, 2016
- Discretionary RAUM · $215M to $95.3MMar 31, 2015 to Mar 24, 2016
- RAUM · $215M to $95.3MMar 31, 2015 to Mar 24, 2016
- Assets in custody · $130M to $101MNov 11, 2014 to Mar 31, 2015
- Discretionary RAUM · $244M to $215MNov 11, 2014 to Mar 31, 2015
- RAUM · $244M to $215MNov 11, 2014 to Mar 31, 2015
- Advisory employees · 3 to 2Jan 16, 2014 to Feb 28, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- L••••• B••••••• P•••••• F••• A•••••••• L• · Private Equityshared crd · organization
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