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

D•••••• C••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 132367SEC 801-63563IAPD
Legal name L••••• D••• L••
Latest filing Mar 31, 2022
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$147M
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
11 filings and snapshots on the tape
RAUM$147M as of Mar 31, 2022
Mar 28, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20130 then
Employees (5.A)1 as of Mar 31, 2022
Mar 27, 20133 then
Private funds1 as of Mar 27, 2013
Mar 28, 20121 then
RAUM -12% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$36.6MderivedRAUM 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
-12%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, fixed fees, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$74.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••• C••••• O••••••••• I• M••••• F•••• L•••no longer reportedHedge Fund$685,00016Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• J••••• K••• · Managing Member / Ccocontrol
        since 11/2003 · owns 25% to 50%
      • G•••• T•••• · Cio/Managing Membercontrol
        since 11/2003 · owns 25% to 50%
      • F•••••• K••••• L••• · Class "B" Member
        since 01/2014 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • D•••••• C••••• P••••••• E••••• B•••
        investment advisern
      Advisers that list D•••••• C••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $167M to $147M
        Mar 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $95.0M to $74.7M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $167M to $147M
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $171M to $167M
        Mar 31, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $99.0M to $95.0M
        Mar 31, 2020 to Mar 30, 2021
      • RAUM · $171M to $167M
        Mar 31, 2020 to Mar 30, 2021
      • Accounts · 3 to 4
        Mar 29, 2019 to Mar 31, 2020
      • Advisory employees · 3 to 1
        Mar 29, 2019 to Mar 31, 2020
      • Employees · 3 to 1
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $105M to $171M
        Mar 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $105M to $99.0M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $105M to $171M
        Mar 29, 2019 to Mar 31, 2020
      • Accounts · 4 to 3
        Mar 31, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 4 to 3
        Mar 31, 2018 to Mar 29, 2019
      • Discretionary RAUM · $120M to $105M
        Mar 31, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $120M to $105M
        Mar 31, 2018 to Mar 29, 2019
      • RAUM · $120M to $105M
        Mar 31, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 3
        Mar 30, 2017 to Mar 31, 2018
      • BD registered reps · 0 to 1
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2017 to Mar 31, 2018
      • Employees · 2 to 3
        Mar 30, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $166M to $120M
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 120226478.0
        Mar 30, 2017 to Mar 31, 2018
      • RAUM · $166M to $120M
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $213M to $166M
        Feb 24, 2016 to Mar 30, 2017
      • RAUM · $213M to $166M
        Feb 24, 2016 to Mar 30, 2017
      • Financial planning clients · 0 to unset
        Mar 23, 2015 to Feb 24, 2016
      • Discretionary RAUM · $269M to $213M
        Mar 23, 2015 to Feb 24, 2016
      • RAUM · $269M to $213M
        Mar 23, 2015 to Feb 24, 2016
      • Accounts · 5 to 4
        Mar 26, 2014 to Mar 23, 2015
      • Legal name · D•••••• C••••• P••••••• L•• to L••••• D••• L••
        Mar 26, 2014 to Mar 23, 2015
      • Discretionary RAUM · $943M to $269M
        Mar 26, 2014 to Mar 23, 2015
      • RAUM · $943M to $269M
        Mar 26, 2014 to Mar 23, 2015
      • Accounts · 8 to 5
        Mar 27, 2013 to Mar 26, 2014
      • Advisory employees · 3 to 2
        Mar 27, 2013 to Mar 26, 2014
      • Employees · 3 to 2
        Mar 27, 2013 to Mar 26, 2014
      • Private funds · 1 to unset
        Mar 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $1.4B to $943M
        Mar 27, 2013 to Mar 26, 2014
      • RAUM · $1.4B to $943M
        Mar 27, 2013 to Mar 26, 2014
      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