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•••••••••

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 140305SEC 801-66803IAPD
Legal name L•••• C••••••• L••
Latest filing Mar 12, 2019
First filing on the tape Mar 29, 2012 · 29 filings
RAUM
$3.6B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$3.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$3.6B as of Mar 12, 2019
Mar 29, 2012$650M then
HNW client RAUM$3.6B as of Mar 12, 2019
Feb 13, 2018$4.0B then
State-registered IARs (5.B.3)14 as of Mar 12, 2019
Mar 29, 20120 then
Employees (5.A)23 as of Mar 12, 2019
Mar 28, 201313 then
Private funds: no history
RAUM -9.5% over the last fiscal year+6.4% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 12, 2019; every figure names its basis
RAUM per advisor
$260MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.7MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-9.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$36.0M, 10 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • 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
  • High-net-worth individuals$3.6B98%
  • Individuals$58.8M1.6%
  • Pension and profit-sharing plans$381,0060.0%
Individual clients
199reported
HNW clients
305reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
1,737reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$36.0M for 10 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••• M••••••• J••••• · President And Chief Operating Officercontrol
      since 03/2009 · owns less than 5%
    • L••••• B•• B••••• · Managing Member And Co-Ceocontrol
      since 06/2006 · owns 50% to 75%
    • M•••••• P•••••• N•••••• · Managing Member And Co-Ceocontrol
      since 10/2012 · owns 50% to 75%
    • Y••••• J•••• R•••••• · Chief Compliance Officer
      since 10/2017 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Baton Rouge, LA3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,736 to 1,737
      Dec 7, 2018 to Mar 12, 2019
    • Advisory employees · 14 to 12
      Dec 7, 2018 to Mar 12, 2019
    • HNW clients · 313 to 305
      Dec 7, 2018 to Mar 12, 2019
    • Individual clients · 205 to 199
      Dec 7, 2018 to Mar 12, 2019
    • Pension plan clients · 4 to 3
      Dec 7, 2018 to Mar 12, 2019
    • Assets in custody · unset to 35992316.0
      Dec 7, 2018 to Mar 12, 2019
    • Custody of client assets · false to true
      Dec 7, 2018 to Mar 12, 2019
    • Employees · 26 to 23
      Dec 7, 2018 to Mar 12, 2019
    • Discretionary RAUM · $3.7B to $3.3B
      Dec 7, 2018 to Mar 12, 2019
    • HNW RAUM · $4.0B to $3.6B
      Dec 7, 2018 to Mar 12, 2019
    • Individual RAUM · $63.9M to $58.8M
      Dec 7, 2018 to Mar 12, 2019
    • Non-discretionary RAUM · $302M to $318M
      Dec 7, 2018 to Mar 12, 2019
    • Pension RAUM · $242,791 to $381,006
      Dec 7, 2018 to Mar 12, 2019
    • RAUM · $4.0B to $3.6B
      Dec 7, 2018 to Mar 12, 2019
    • Accounts · 1,512 to 1,736
      Oct 30, 2017 to Feb 13, 2018
    • Advisory employees · 16 to 14
      Oct 30, 2017 to Feb 13, 2018
    • Advisory activities · 4 to 5
      Oct 30, 2017 to Feb 13, 2018
    • Charity clients · unset to 0.0
      Oct 30, 2017 to Feb 13, 2018
    • Corporate clients · unset to 0.0
      Oct 30, 2017 to Feb 13, 2018
    • HNW clients · unset to 313.0
      Oct 30, 2017 to Feb 13, 2018
    • Individual clients · unset to 205.0
      Oct 30, 2017 to Feb 13, 2018
    • Pension plan clients · unset to 4.0
      Oct 30, 2017 to Feb 13, 2018
    • Pooled vehicle clients · unset to 0.0
      Oct 30, 2017 to Feb 13, 2018
    • Employees · 21 to 26
      Oct 30, 2017 to Feb 13, 2018
    • Financial planning clients · unset to 101-250
      Oct 30, 2017 to Feb 13, 2018
    • State-registered IARs · 12 to 14
      Oct 30, 2017 to Feb 13, 2018
    • Discretionary RAUM · $3.3B to $3.7B
      Oct 30, 2017 to Feb 13, 2018
    • HNW RAUM · unset to 3953679185.0
      Oct 30, 2017 to Feb 13, 2018
    • Individual RAUM · unset to 63918429.0
      Oct 30, 2017 to Feb 13, 2018
    • Non-discretionary RAUM · $319M to $302M
      Oct 30, 2017 to Feb 13, 2018
    • Pension RAUM · unset to 242791.0
      Oct 30, 2017 to Feb 13, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Oct 30, 2017 to Feb 13, 2018
    • RAUM · $3.6B to $4.0B
      Oct 30, 2017 to Feb 13, 2018
    • Other offices · unset to 1.0
      Sep 27, 2017 to Oct 30, 2017
    • Accounts · 1,476 to 1,512
      Dec 15, 2016 to Mar 14, 2017
    • Advisory employees · 15 to 16
      Dec 15, 2016 to Mar 14, 2017
    • Employees · 24 to 21
      Dec 15, 2016 to Mar 14, 2017
    • State-registered IARs · 11 to 12
      Dec 15, 2016 to Mar 14, 2017
    • Discretionary RAUM · $2.8B to $3.3B
      Dec 15, 2016 to Mar 14, 2017
    • Non-discretionary RAUM · $258M to $319M
      Dec 15, 2016 to Mar 14, 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