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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SEC-registered adviser
L•••••• S••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 32 filings
SEC status approved since Mar 23, 2007
RAUM
$1.9B
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
19
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.9B as of Mar 27, 2026
Mar 28, 2012$600M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20120 then
Employees (5.A)19 as of Mar 27, 2026
Mar 28, 201311 then
Private funds1 as of Feb 28, 2020
Mar 28, 20121 then
RAUM +16% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $314MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.7B90%
- Pooled investment vehicles$186M9.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=7.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• S••••••• O••••••••• F•••• L••no longer reported | Hedge Fund | $918,471 | 10 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• S••••• D•••• · Chief Financial Officer, Treasurercontrolsince 12/2007 · owns 25% to 50%
- F••••••• V•••••• J••••• · Presidentcontrolsince 04/2007 · owns 25% to 50%
- H•••• R••••••• A•••••••• · Shareholdercontrolsince 11/2006 · owns 25% to 50%
- R••••• T••••••• W•••••• · Chief Executive Officercontrolsince 11/2006 · owns 25% to 50%
- F••••••• V•••••• J• · Senior Vice President, Chief Operating Officersince 07/2020 · owns less than 5%
- N•••••• A•••••• P•••• · Chief Compliance Officer, General Counselsince 01/2008 · owns less than 5%
Related persons
Schedule D 7.A
- H•• F••• A••••••••• L••broker-dealern
- M•••• L••investment adviserpooled vehicle sponsorn
- P•••• L••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $78.2M
- P•••••• S••••• O••••••••• S•• L••pooled vehicle sponsorn
Advisers that list L•••••• S••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Burlingame, CA6 employees
What changed
consecutive filings, newest first
- Employees · 18 to 19Nov 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.7B to $1.9BNov 13, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $126M to $186MNov 13, 2025 to Mar 27, 2026
- RAUM · $1.7B to $1.9BNov 13, 2025 to Mar 27, 2026
- Accounts · 7 to 6Mar 20, 2025 to Nov 13, 2025
- Advisory employees · 14 to 13Mar 20, 2025 to Nov 13, 2025
- Employees · 19 to 18Mar 20, 2025 to Nov 13, 2025
- Discretionary RAUM · $1.6B to $1.7BMar 20, 2025 to Nov 13, 2025
- Pooled vehicle RAUM · $83.1M to $126MMar 20, 2025 to Nov 13, 2025
- RAUM · $1.6B to $1.7BMar 20, 2025 to Nov 13, 2025
- Accounts · 6 to 7Mar 25, 2024 to Mar 20, 2025
- BD registered reps · 6 to 7Mar 25, 2024 to Mar 20, 2025
- Employees · 18 to 19Mar 25, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $40.2M to $83.1MMar 25, 2024 to Mar 20, 2025
- RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 20, 2025
- Advisory employees · 15 to 14Mar 31, 2023 to Mar 25, 2024
- Employees · 19 to 18Mar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $23.9M to $40.2MMar 31, 2023 to Mar 25, 2024
- RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 25, 2024
- Related insurance company · true to falseMar 31, 2023 to Mar 25, 2024
- Accounts · 9 to 6Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 14 to 15Mar 30, 2022 to Mar 31, 2023
- Employees · 17 to 19Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.5B to $1.3BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $232,107 to $23.9MMar 30, 2022 to Mar 31, 2023
- RAUM · $1.5B to $1.3BMar 30, 2022 to Mar 31, 2023
- Accounts · 8 to 9Oct 29, 2021 to Mar 30, 2022
- Advisory employees · 13 to 14Oct 29, 2021 to Mar 30, 2022
- Advisory activities · 1 to 2Oct 29, 2021 to Mar 30, 2022
- Pooled vehicle clients · unset to 1.0Oct 29, 2021 to Mar 30, 2022
- Employees · 16 to 17Oct 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.7B to $1.5BOct 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · unset to 232107.0Oct 29, 2021 to Mar 30, 2022
- RAUM · $1.7B to $1.5BOct 29, 2021 to Mar 30, 2022
- BD registered reps · 7 to 6Sep 9, 2021 to Oct 29, 2021
- Employees · 15 to 16Sep 9, 2021 to Oct 29, 2021
- Other offices · 0 to 1Sep 9, 2021 to Oct 29, 2021
Signals
3 dated events
- L•••••• S••••• A•••••••• I••• reported RAUM $1.3B, up 28% from $1.0B (2020-02-28 to 2020-07-30)Jul 30, 2020 · RAUM change · derived
- J Victor Fontana (Senior Vice President, Chief Operating Officer) appeared on Schedule A of L•••••• S••••• A•••••••• I•••Jul 30, 2020 · Control person joined · fact
- L•••••• S••••• A•••••••• I••• reported RAUM $572.3M, down 82% from $3.2B (2017-03-30 to 2018-03-13)Mar 13, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- L••••••S•••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-240-9721reportedpublic record, Form ADV, Mar 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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