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•• C•••••• A•••••••

Former SEC-registered adviserMill Valley, CaliforniaCRD 137611SEC 801-66331IAPD
Legal name L•••••••• S••••••••• L••
Latest filing Nov 28, 2016
First filing on the tape Mar 27, 2012 · 25 filings
RAUM
$147M
reported, Item 5.F
Discretionary
66%
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
11
$15.4M gross assets
History
25 filings and snapshots on the tape
RAUM$103M as of Mar 15, 2016
Mar 27, 2012$206M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 15, 2016
Mar 27, 20120 then
Employees (5.A)6 as of Mar 15, 2016
Mar 28, 20136 then
Private funds15 as of Mar 15, 2016
Mar 27, 20129 then
RAUM +32% over the last fiscal year+2.9% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Nov 28, 2016; every figure names its basis
RAUM per advisor
$36.8MderivedRAUM 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
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
66%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • has custody of client securities (9.A.1.b)
  • 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
122reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, 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
Every departureEvery arrival
Private funds
16 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
L•• C•••••• P••••••••• V•• L••Private Equity Fund$4.0M32Jul 7, 2014
F•••••••• I• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$2.0M13Mar 27, 2012
H••••• A• S••••• O• L•• C•••••• P••••••• I•• L••Other Private Fund$2.0M5Mar 28, 2013
F•••••••• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$2.0M14Mar 27, 2012
L•• C•••••• P••••••• I• L•Private Equity Fund$1.6M8Mar 27, 2012
L•• C•••••• P••••••••• V••• L••Private Equity Fund$1.5M14Aug 30, 2016
F•••••••• V• S••••• O• L•• C•••••• P••••••• I• L••Private Equity Fund$1.1M14Mar 28, 2013
V•••• I•• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$1.0M1Mar 27, 2012
L•• C•••••• P••••••••• C••••••••• N•••• L••Private Equity Fund$883,00014Mar 15, 2016
F•••••••• I•• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$695,00013Mar 27, 2012
L•• C•••••• P••••••••• B• L••Private Equity Fund$615,00010Nov 9, 2015
B••• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$585,0004Mar 27, 2012
E••••••••• A• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$450,0009Jan 6, 2014
F•••••••• I• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$150,0001Mar 27, 2012
V•••• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$014Mar 27, 2012
V•••• I• S••••• O• L•• C•••••• P••••••• I•• L••Private Equity Fund$014Mar 27, 2012
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• G•••••• B••••• · Managing Director, Coo And Chief Compliance Officercontrol
    since 01/2014 · owns less than 5%
  • C•••••••• A•••• G•••••••• · Managing Director And Chief Investment Officercontrol
    since 09/2007 · owns less than 5%
  • I•••••••• B••••••• L••• · Managing Director And Portfolio Managercontrol
    since 10/2010 · owns 10% to 25%
  • I•••••••• R••••••• L•• · Trustee Of The R•••••• And R•••••• I••••••• Revocable Trustcontrol
    since 12/2007 · owns 75% or more
  • I•••••••• R••••••• I• · Trustee Of The R•••••• And R•••••• I••••••• Revocable Trustcontrol
    since 12/2007 · owns 75% or more
  • I•••••••• E•••• · Director Of Client Services/Office Manager
    since 11/2015 · owns less than 5%
Related persons
Schedule D 7.A
  • L•• C•••••• P••••••• I• L•
    pooled vehicle sponsory
  • L•• C•••••• P••••••• I•• L••
    pooled vehicle sponsory
  • L•• C•••••• P••••••••• C••••••••• N•••• L••
    pooled vehicle sponsory
  • L•• C•••••• P••••••••• B• L••
    pooled vehicle sponsory
  • L•• C•••••• P••••••••• V•• L••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 463 to 122
    Aug 30, 2016 to Nov 7, 2016
  • Discretionary RAUM · $65.2M to $96.7M
    Aug 30, 2016 to Nov 7, 2016
  • Non-discretionary RAUM · $37.5M to $50.6M
    Aug 30, 2016 to Nov 7, 2016
  • RAUM · $103M to $147M
    Aug 30, 2016 to Nov 7, 2016
  • Related adviser · true to false
    Aug 30, 2016 to Nov 7, 2016
  • Private funds · 15 to 16
    May 11, 2016 to Aug 30, 2016
  • Private funds · 16 to 11
    Aug 30, 2016 to Aug 30, 2016
  • State-registered IARs · 5 to 4
    Mar 15, 2016 to May 11, 2016
  • Related adviser · false to true
    Mar 15, 2016 to May 11, 2016
  • Accounts · 381 to 463
    Nov 9, 2015 to Mar 15, 2016
  • Assets in custody · unset to 13255000.0
    Nov 9, 2015 to Mar 15, 2016
  • Employees · 7 to 6
    Nov 9, 2015 to Mar 15, 2016
  • Private funds · 14 to 15
    Nov 9, 2015 to Mar 15, 2016
  • Discretionary RAUM · $90.1M to $65.2M
    Nov 9, 2015 to Mar 15, 2016
  • Non-discretionary RAUM · $21.1M to $37.5M
    Nov 9, 2015 to Mar 15, 2016
  • RAUM · $111M to $103M
    Nov 9, 2015 to Mar 15, 2016
  • HQ city · SAN FRANCISCO to MILL VALLEY
    Mar 19, 2015 to Nov 9, 2015
  • Private funds · 13 to 14
    Mar 19, 2015 to Nov 9, 2015
  • Business name · L•••••••• S••••••••• L•• to L•• C•••••• A•••••••
    Nov 9, 2015 to Nov 9, 2015
  • Accounts · 221 to 381
    Dec 2, 2014 to Mar 19, 2015
  • Financial planning clients · 1-10 to 11-25
    Dec 2, 2014 to Mar 19, 2015
  • Discretionary RAUM · $82.6M to $90.1M
    Dec 2, 2014 to Mar 19, 2015
  • Non-discretionary RAUM · $19.9M to $21.1M
    Dec 2, 2014 to Mar 19, 2015
  • RAUM · $102M to $111M
    Dec 2, 2014 to Mar 19, 2015
  • Accounts · 213 to 221
    Nov 5, 2014 to Dec 1, 2014
  • Discretionary RAUM · $104M to $82.6M
    Nov 5, 2014 to Dec 1, 2014
  • Non-discretionary RAUM · $16.9M to $19.9M
    Nov 5, 2014 to Dec 1, 2014
  • RAUM · $121M to $102M
    Nov 5, 2014 to Dec 1, 2014
  • Advisory employees · 4 to 5
    Jul 7, 2014 to Sep 10, 2014
  • Advisory activities · 5 to 4
    Jul 7, 2014 to Sep 10, 2014
  • Employees · 6 to 7
    Jul 7, 2014 to Sep 10, 2014
  • State-registered IARs · 4 to 5
    Jul 7, 2014 to Sep 10, 2014
  • Accounts · 195 to 213
    May 15, 2014 to Jul 7, 2014
  • Private funds · 12 to 13
    May 15, 2014 to Jul 7, 2014
  • Discretionary RAUM · $73.6M to $104M
    May 15, 2014 to Jul 7, 2014
  • RAUM · $90.5M to $121M
    May 15, 2014 to Jul 7, 2014
  • Accounts · 185 to 195
    Jan 6, 2014 to Mar 7, 2014
  • Assets in custody · 4860744.0 to unset
    Jan 6, 2014 to Mar 7, 2014
  • Custody of client assets · true to false
    Jan 6, 2014 to Mar 7, 2014
  • Financial planning clients · 11-25 to 1-10
    Jan 6, 2014 to Mar 7, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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