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•••• L••• A••••••• L••

Former SEC-registered adviserRye Brook, New YorkCRD 137682SEC 801-64829IAPD
Latest filing Apr 7, 2016
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$655M
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
13
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$362M gross assets
History
14 filings and snapshots on the tape
RAUM$655M as of Mar 30, 2016
Mar 29, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 26, 20130 then
Employees (5.A)13 as of Mar 30, 2016
Mar 26, 201323 then
Private funds8 as of Mar 30, 2016
Mar 29, 201217 then
RAUM -29% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2016; 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
$38.6MderivedRAUM 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
-29%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
Custody
$87.0M, 3 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)
  • 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
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
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$87.0M for 3 clientsreported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• L••• A•••• E•••••••• F•••• L•••no longer reportedHedge Fund$33.7M1Mar 29, 2012
      L••••••• A••••••••• I••••••••• L••Hedge Fund$25.7M1Mar 29, 2012
      H•••• F••• I••••••••• C••••••• L•••no longer reportedHedge Fund$3.1M7Dec 18, 2012
      U••••••• I••••••••• L•••Hedge Fund$1.2M1Mar 29, 2012
      H••• O•••••••• L•••no longer reportedHedge Fund$793,7655Dec 18, 2012
      H••• I• O•••••••• L••no longer reportedHedge Fund$671,9419Mar 29, 2012
      H••• I• M••••• 2• L•••no longer reportedHedge Fund$602,1052Mar 29, 2012
      U••••••• I••••••••• M••••• L••Hedge Fund$560,9601Mar 29, 2012
      L•••• L••• M••••••••• L••••••••• T••••no longer reportedHedge Fund$391,3431Mar 29, 2012
      U••••••• P••••••• O•••••••• L•••Hedge Fund$253,2272Mar 29, 2012
      H••• I• M••••• 3• L•••no longer reportedHedge Fund$218,6962Mar 29, 2012
      H••• I• M••••• 1• L•••no longer reportedHedge Fund$02Mar 29, 2012
      H••• I• M••••• 4• L•••no longer reportedHedge Fund$02Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• G•••••••• B•••• · Director Of Researchcontrol
        since 08/2013 · owns less than 5%
      • I••• B••••• S•••• · Chief Compliance Officercontrol
        since 02/2015 · owns less than 5%
      • J•••••• M•••• A••• · Ceo And Ciocontrol
        since 09/2005 · owns less than 5%
      • K•••• D••••• J•• · President And Chief Operating Officercontrol
        since 06/2011 · owns less than 5%
      • K••••••••• E•••• M•••••• · Chief Risk Officercontrol
        since 02/2015 · owns less than 5%
      • L••••••••• R•••••• S••••• · Chief Financial Officercontrol
        since 01/2016 · owns less than 5%
      • J•••••• M•••• A••• · Limited Partnercontrol
        since 05/2013 · owns 50% to 75% of L•••• L••• H••••••• I• L•••
      Entity owners
      • L•••• L••• H••••••• I• L••• · Member
        direct · owns 75% or more
      • L•••• L••• H••••••• G• L•• · General Partner Of L•••• L••• Holdings I, L.P.
        indirect · owns F of L•••• L••• H••••••• I• L•••
      Related persons
      Schedule D 7.A
      Advisers that list L•••• L••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 17
        Jan 6, 2016 to Mar 30, 2016
      • Advisory employees · 9 to 13
        Jan 6, 2016 to Mar 30, 2016
      • Employees · 16 to 13
        Jan 6, 2016 to Mar 30, 2016
      • Private funds · 11 to 8
        Jan 6, 2016 to Mar 30, 2016
      • Discretionary RAUM · $924M to $655M
        Jan 6, 2016 to Mar 30, 2016
      • RAUM · $924M to $655M
        Jan 6, 2016 to Mar 30, 2016
      • Assets in custody · $5.9M to $87.0M
        Apr 15, 2014 to Mar 26, 2015
      • Employees · 19 to 16
        Apr 15, 2014 to Mar 26, 2015
      • Discretionary RAUM · $940M to $924M
        Apr 15, 2014 to Mar 26, 2015
      • RAUM · $940M to $924M
        Apr 15, 2014 to Mar 26, 2015
      • Accounts · 28 to 19
        Mar 26, 2013 to Mar 26, 2014
      • Advisory employees · 11 to 9
        Mar 26, 2013 to Mar 26, 2014
      • Assets in custody · $77.9M to $5.9M
        Mar 26, 2013 to Mar 26, 2014
      • Employees · 23 to 19
        Mar 26, 2013 to Mar 26, 2014
      • Private funds · 20 to 11
        Mar 26, 2013 to Mar 26, 2014
      • Discretionary RAUM · $1.2B to $940M
        Mar 26, 2013 to Mar 26, 2014
      • RAUM · $1.2B to $940M
        Mar 26, 2013 to Mar 26, 2014
      • RAUM · $1.3B to $1.2B
        Dec 18, 2012 to Mar 26, 2013
      • Assets in custody · $261M to $77.9M
        Dec 18, 2012 to Mar 26, 2013
      • Discretionary RAUM · $1.3B to $1.2B
        Dec 18, 2012 to Mar 26, 2013
      • Related bank · false to true
        Dec 18, 2012 to Mar 26, 2013
      • Accounts · 25 to 28
        Apr 17, 2012 to Dec 18, 2012
      • Advisory employees · unset to 11.0
        Apr 17, 2012 to Dec 18, 2012
      • Employees · unset to 23.0
        Apr 17, 2012 to Dec 18, 2012
      • State-registered IARs · unset to 0.0
        Apr 17, 2012 to Dec 18, 2012
      • Private funds · 17 to 20
        Apr 17, 2012 to Dec 18, 2012
      • Discretionary RAUM · $1.4B to $1.3B
        Apr 17, 2012 to Dec 18, 2012
      • RAUM · $1.4B to $1.3B
        Apr 17, 2012 to Dec 18, 2012
      • Related bank · true to false
        Apr 17, 2012 to Dec 18, 2012
      • Related broker-dealer · true to false
        Apr 17, 2012 to Dec 18, 2012
      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