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••••• P•••••••• L•••
Latest filing Mar 26, 2019
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$528M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$176M gross assets
History
10 filings and snapshots on the tape
RAUM$528M as of Mar 26, 2019
Mar 28, 2012$270M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 28, 20120 then
Employees (5.A)8 as of Mar 26, 2019
Mar 19, 201310 then
Private funds3 as of Mar 26, 2019
Mar 28, 20123 then
RAUM -5.4% over the last fiscal year-1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2019; 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
- $48.0MderivedRAUM 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
- -5.4%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $58.0M, 8 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$352M67%
- Pooled investment vehicles$176M33%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.0M for 8 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• P••••••• S•••••• S••••••••• O••••••••• M••••• F•••• L••• | Private Equity Fund | $85.0M | 3 | Mar 26, 2019 |
| L••••• P••••••• M••• L•no longer reported | Hedge Fund | $76.8M | 1 | Mar 28, 2012 |
| L••••• U•••• M••••• F•••• L••• | Hedge Fund | $61.4M | 14 | Mar 28, 2012 |
| L••••• A••••••• M••••• F•••• L••• | Hedge Fund | $29.4M | 1 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• H••••••• L•• · Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- F•••• D••••• H• · Principal, Limited Partnercontrolsince 05/2005 · owns 25% to 50%
- S•••••• D••••• H••••• · Principal, Limited Partnercontrolsince 05/2005 · owns 25% to 50%
- F•••• D••••• H• · Membercontrolsince 05/2005 · owns 25% to 50% of L••••• P••••••• G• L••
- S•••••• D••••• H••••• · Membercontrolsince 05/2005 · owns 25% to 50% of L••••• P••••••• G• L••
- C•••• B•••••••• M•••••• · Limited Partnersince 01/2012 · owns 5% to 10%
Entity owners
- L••••• P••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- L••••• G• L••pooled vehicle sponsory
- L••••• S•••••• S••••••••• O••••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 27, 2018 to Mar 26, 2019
- Pooled vehicle clients · 8 to 9Mar 27, 2018 to Mar 26, 2019
- Assets in custody · $166M to $58.0MMar 27, 2018 to Mar 26, 2019
- Employees · 11 to 8Mar 27, 2018 to Mar 26, 2019
- Private funds · 2 to 3Mar 27, 2018 to Mar 26, 2019
- Discretionary RAUM · $558M to $528MMar 27, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $188M to $176MMar 27, 2018 to Mar 26, 2019
- RAUM · $558M to $528MMar 27, 2018 to Mar 26, 2019
- Accounts · 10 to 11Mar 28, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 8.0Mar 28, 2017 to Mar 27, 2018
- Assets in custody · $177M to $166MMar 28, 2017 to Mar 27, 2018
- Employees · 10 to 11Mar 28, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Discretionary RAUM · $413M to $558MMar 28, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 187700000.0Mar 28, 2017 to Mar 27, 2018
- RAUM · $413M to $558MMar 28, 2017 to Mar 27, 2018
- Accounts · 11 to 10Aug 3, 2016 to Mar 28, 2017
- Assets in custody · $200M to $177MAug 3, 2016 to Mar 28, 2017
- Private funds · 3 to 2Aug 3, 2016 to Mar 28, 2017
- Discretionary RAUM · $556M to $413MAug 3, 2016 to Mar 28, 2017
- RAUM · $556M to $413MAug 3, 2016 to Mar 28, 2017
- Accounts · 10 to 11Mar 23, 2015 to Mar 24, 2016
- Advisory activities · 1 to 2Mar 23, 2015 to Mar 24, 2016
- Assets in custody · $270M to $200MMar 23, 2015 to Mar 24, 2016
- Discretionary RAUM · $539M to $556MMar 23, 2015 to Mar 24, 2016
- RAUM · $539M to $556MMar 23, 2015 to Mar 24, 2016
- Accounts · 11 to 10Mar 18, 2014 to Mar 23, 2015
- Advisory employees · 5 to 6Mar 18, 2014 to Mar 23, 2015
- Assets in custody · $231M to $270MMar 18, 2014 to Mar 23, 2015
- Employees · 9 to 10Mar 18, 2014 to Mar 23, 2015
- Discretionary RAUM · $449M to $539MMar 18, 2014 to Mar 23, 2015
- RAUM · $449M to $539MMar 18, 2014 to Mar 23, 2015
- Accounts · 10 to 11Mar 19, 2013 to Mar 18, 2014
- Assets in custody · $181M to $231MMar 19, 2013 to Mar 18, 2014
- Employees · 10 to 9Mar 19, 2013 to Mar 18, 2014
- Discretionary RAUM · $333M to $449MMar 19, 2013 to Mar 18, 2014
- RAUM · $333M to $449MMar 19, 2013 to Mar 18, 2014
- Advisory employees · unset to 5.0Mar 28, 2012 to Mar 19, 2013
- Assets in custody · $161M to $181MMar 28, 2012 to Mar 19, 2013
- Employees · unset to 10.0Mar 28, 2012 to Mar 19, 2013
Signals
1 dated events
- L••••• P•••••••• L••• reported RAUM $558.1M, up 35% from $412.7M (2017-03-28 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- L••••• P•••••••• L••• · Private Equityshared crd · organization
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