DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••••• W••• C•••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Apr 2, 2012 · 23 filings
SEC status approved since Jan 21, 2011
RAUM
$4.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$60.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$4.4B as of Mar 27, 2026
Apr 2, 2012$451M then
HNW client RAUM$60.0M as of Mar 27, 2026
Mar 26, 2018$32.6M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)12 as of Mar 27, 2026
Mar 28, 20138 then
Private funds2 as of Mar 27, 2026
Apr 2, 20121 then
RAUM +32% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $20.0MderivedHNW RAUM over HNW clients
- Average account
- $259MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $146M, 2 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.4B32%
- Pooled investment vehicles$1.3B30%
- Pension and profit-sharing plans$658M15%
- State and municipal entities$615M14%
- Sovereign wealth funds$242M5.5%
- Charitable organizations$85.9M2.0%
- High-net-worth individuals$60.0M1.4%
- Insurance companies$37.0M0.8%
- Individual clients
- 0reported
- HNW clients
- 3reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $146M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.61 institutional_share=0.37 related_bd=true related_bank=false bd_reps=1.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• W••• C••••••• L• | Hedge Fund | $955M | 542 | Apr 2, 2012 |
| L••••• W••• L••• O••••••••• F•••• L• | Hedge Fund | $162M | 51 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• S••••••• J••• · Chief Investment Officer Of Registrantcontrolsince 06/2002 · owns less than 5%
- E•••••• S••••••• J••• · Managing And Sole Membercontrolsince 03/2015 · owns 75% or more of L••• P••••••• G• L••
- E•••••• S••••••• J••• · Limited Partnercontrolsince 02/2015 · owns 75% or more of L••• P••••••• L•
- M•••••• P•••• M••••• · Chief Operating Officer/Chief Compliance Officersince 01/2007 · owns less than 5%
Entity owners
- L••• P••••••• L• · Managing Member Of Registrantdirect · owns 75% or more
- L••• P••••••• G• L•• · General Partnerindirect · owns F of L••• P••••••• L•
Related persons
Schedule D 7.A
- L••••• W••• C•••••• M••••••••• L••pooled vehicle sponsorn
- L••••• W••• L••• O••••••••• G•• L••pooled vehicle sponsorn
- T••••• A• P••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Palm Beach Gardens, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 37% against a peer median of 0% (1506 comparable advisers, 100.0th percentile, 12.6 robust deviations)peers: asset managers, $1B to $5B (1,506) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 17Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $155M to $146MMar 26, 2025 to Mar 27, 2026
- Employees · 11 to 12Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.3B to $4.4BMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $55.8M to $60.0MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $749M to $658MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.3B to $1.3BMar 26, 2025 to Mar 27, 2026
- RAUM · $3.3B to $4.4BMar 26, 2025 to Mar 27, 2026
- Accounts · 15 to 16Sep 25, 2024 to Mar 26, 2025
- Charity clients · 0 to 1Sep 25, 2024 to Mar 26, 2025
- Pooled vehicle clients · 3 to 2Sep 25, 2024 to Mar 26, 2025
- Assets in custody · $60.2M to $155MSep 25, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.8B to $3.3BSep 25, 2024 to Mar 26, 2025
- HNW RAUM · $59.2M to $55.8MSep 25, 2024 to Mar 26, 2025
- Pension RAUM · $624M to $749MSep 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BSep 25, 2024 to Mar 26, 2025
- RAUM · $2.8B to $3.3BSep 25, 2024 to Mar 26, 2025
- Accounts · 14 to 15Aug 7, 2024 to Sep 25, 2024
- Pooled vehicle clients · 2 to 3Aug 7, 2024 to Sep 25, 2024
- Accounts · 11 to 14Mar 30, 2023 to Mar 25, 2024
- BD registered reps · 0 to 1Mar 30, 2023 to Mar 25, 2024
- HNW clients · 4 to 3Mar 30, 2023 to Mar 25, 2024
- Assets in custody · $1.8B to $60.2MMar 30, 2023 to Mar 25, 2024
- Other offices · 0 to 1Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.8B to $2.8BMar 30, 2023 to Mar 25, 2024
- HNW RAUM · $59.2M to $59.2MMar 30, 2023 to Mar 25, 2024
- Pension RAUM · $632M to $624MMar 30, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $948M to $1.1BMar 30, 2023 to Mar 25, 2024
- RAUM · $1.8B to $2.8BMar 30, 2023 to Mar 25, 2024
- Related broker-dealer · false to trueMar 30, 2023 to Mar 25, 2024
- HNW clients · 5 to 4Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $2.2B to $1.8BMar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.2B to $1.8BMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $84.6M to $59.2MMar 29, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $15.5M to $0Mar 29, 2022 to Mar 30, 2023
- Pension RAUM · $907M to $632MMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.1B to $948MMar 29, 2022 to Mar 30, 2023
- RAUM · $2.2B to $1.8BMar 29, 2022 to Mar 30, 2023
- Accounts · 9 to 11Mar 23, 2021 to Mar 29, 2022
Signals
3 dated events
- L••••• W••• C•••••• A•••••••• L•• reported RAUM $4.4B, up 32% from $3.3B (2025-03-26 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- L••••• W••• C•••••• A•••••••• L•• reported RAUM $2.8B, up 53% from $1.8B (2023-03-30 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- L••••• W••• C•••••• A•••••••• L•• reported RAUM $2.2B, up 28% from $1.7B (2021-03-23 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- L•••••W•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-354-5404reportedpublic record, Form ADV, Mar 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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