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••••••••• G••••• A•••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$901M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.0B as of Mar 29, 2019
Mar 30, 2012$654M then
HNW client RAUM$859M as of Mar 29, 2019
Mar 29, 2018$849M then
State-registered IARs (5.B.3)2 as of Mar 29, 2019
Mar 28, 20134 then
Employees (5.A)17 as of Mar 29, 2019
Mar 28, 201319 then
Private funds: no history
RAUM -0.2% over the last fiscal year+4.4% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $523MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.2MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.4B, 248 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
- 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
- High-net-worth individuals$859M82%
- Corporations and businesses$97.9M9.3%
- Charitable organizations$48.0M4.6%
- Individuals$41.6M4.0%
- Individual clients
- 47reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 531reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 248 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- P••••• K••• L••• to C••• P•••••• W••••• A•••••••• I•••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- S•••••••• R•••••• G•••• to B••••• P•••••••• L••Aug 4, 2016 · Other
- E••• L••• H••••••••• V••••••• to C••• A••••••• L••Jul 10, 2014 · Other
Joined, latest
- E••• L••• H••••••••• V••••••• from B••• O• A•••••• I••••••••• S•••••••• I•••May 13, 2013 · Other
- P••••• K••• L••• from C••• P•••••• W••••• A•••••••• I•••Jul 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• C••••••• A• · Chairman And Chief Executive Officercontrolsince 11/2005 · owns less than 5%
- L••••••••• C••••••• A• · Ownercontrolsince 11/2005 · owns 50% to 75% of L••••••••• G••••• A••••••• H•••••••• L••
- H•••••• T•••• L•••• · Chief Family Office Executivesince 11/2017 · owns less than 5%
- H••••••• L••••• K••••••• · Chief Operating Officersince 11/2017 · owns less than 5%
- Q••••• C••••••••• E••••• · Presidentsince 01/2018 · owns less than 5%
- V•• D••••• J•••••••• D••••• · Chief Compliance Officersince 03/2017 · owns less than 5%
Entity owners
- L••••••••• G••••• A••••••• H•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••••••••• • C•••••••• L••n
- L••••••••• G••••• A••••••• A••••••••• P•••investment advisery
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 458 to 531Jun 6, 2018 to Mar 29, 2019
- HNW clients · 59 to 65Jun 6, 2018 to Mar 29, 2019
- Individual clients · 54 to 47Jun 6, 2018 to Mar 29, 2019
- Assets in custody · $1.4B to $1.4BJun 6, 2018 to Mar 29, 2019
- Employees · 15 to 17Jun 6, 2018 to Mar 29, 2019
- State-registered IARs · 1 to 2Jun 6, 2018 to Mar 29, 2019
- Discretionary RAUM · $915M to $1.0BJun 6, 2018 to Mar 29, 2019
- HNW RAUM · $735M to $859MJun 6, 2018 to Mar 29, 2019
- Individual RAUM · $44.8M to $41.6MJun 6, 2018 to Mar 29, 2019
- RAUM · $915M to $1.0BJun 6, 2018 to Mar 29, 2019
- Accounts · 474 to 458Mar 29, 2018 to Apr 27, 2018
- HNW clients · 52 to 59Mar 29, 2018 to Apr 27, 2018
- Individual clients · 59 to 54Mar 29, 2018 to Apr 27, 2018
- Assets in custody · $1.4B to $1.4BMar 29, 2018 to Apr 27, 2018
- Discretionary RAUM · $1.0B to $915MMar 29, 2018 to Apr 27, 2018
- HNW RAUM · $849M to $735MMar 29, 2018 to Apr 27, 2018
- Individual RAUM · $72.0M to $44.8MMar 29, 2018 to Apr 27, 2018
- RAUM · $1.0B to $915MMar 29, 2018 to Apr 27, 2018
- Accounts · 190 to 474Jun 8, 2017 to Mar 29, 2018
- Advisory employees · 3 to 4Jun 8, 2017 to Mar 29, 2018
- Advisory activities · 2 to 4Jun 8, 2017 to Mar 29, 2018
- Charity clients · unset to 5.0Jun 8, 2017 to Mar 29, 2018
- Corporate clients · unset to 6.0Jun 8, 2017 to Mar 29, 2018
- HNW clients · unset to 52.0Jun 8, 2017 to Mar 29, 2018
- Individual clients · unset to 59.0Jun 8, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Jun 8, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Jun 8, 2017 to Mar 29, 2018
- Assets in custody · $499M to $1.4BJun 8, 2017 to Mar 29, 2018
- Financial planning clients · unset to 1-10Jun 8, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Jun 8, 2017 to Mar 29, 2018
- Discretionary RAUM · $950M to $1.0BJun 8, 2017 to Mar 29, 2018
- HNW RAUM · unset to 849237595.0Jun 8, 2017 to Mar 29, 2018
- Individual RAUM · unset to 72025997.0Jun 8, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Jun 8, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Jun 8, 2017 to Mar 29, 2018
- RAUM · $950M to $1.0BJun 8, 2017 to Mar 29, 2018
- Accounts · 192 to 190Mar 17, 2017 to Mar 30, 2017
- Advisory employees · 2 to 3Mar 17, 2017 to Mar 30, 2017
- State-registered IARs · 2 to 1Mar 17, 2017 to Mar 30, 2017
- Discretionary RAUM · $920M to $950MMar 17, 2017 to Mar 30, 2017
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