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••••• F••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 144082SEC 801-68344IAPD
Latest filing Mar 31, 2024
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$7.0M
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$7.0M gross assets
History
15 filings and snapshots on the tape
RAUM$7.0M as of Mar 31, 2024
Mar 29, 2012$537M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2024
Mar 29, 20120 then
Employees (5.A)4 as of Mar 31, 2024
Mar 28, 20136 then
Private funds1 as of Mar 31, 2024
Mar 29, 20121 then
RAUM -98% over the last fiscal year-73% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2024; 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
$7.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-98%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$7.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••• P••••••• L•Hedge Fund$7.0M8Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• D•••• · Managing Membercontrol
        since 09/2003 · owns 75% or more
      • H••••• E•••• L••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 06/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • L••••• F••• A••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 1
        Mar 31, 2023 to Mar 31, 2024
      • Advisory activities · 3 to 1
        Mar 31, 2023 to Mar 31, 2024
      • Charity clients · 2 to 0
        Mar 31, 2023 to Mar 31, 2024
      • Corporate clients · 1 to 0
        Mar 31, 2023 to Mar 31, 2024
      • Other offices · 0 to 1
        Mar 31, 2023 to Mar 31, 2024
      • Discretionary RAUM · $374M to $7.0M
        Mar 31, 2023 to Mar 31, 2024
      • Pooled vehicle RAUM · $114M to $7.0M
        Mar 31, 2023 to Mar 31, 2024
      • RAUM · $374M to $7.0M
        Mar 31, 2023 to Mar 31, 2024
      • Discretionary RAUM · $409M to $374M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $128M to $114M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $409M to $374M
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $365M to $409M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $121M to $128M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $365M to $409M
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $294M to $365M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $86.8M to $121M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $294M to $365M
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $223M to $294M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $80.1M to $86.8M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $223M to $294M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 5 to 4
        Apr 2, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 2
        Apr 2, 2018 to Mar 29, 2019
      • Employees · 5 to 4
        Apr 2, 2018 to Mar 29, 2019
      • Discretionary RAUM · $913M to $223M
        Apr 2, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $88.5M to $80.1M
        Apr 2, 2018 to Mar 29, 2019
      • RAUM · $913M to $223M
        Apr 2, 2018 to Mar 29, 2019
      • Charity clients · unset to 2.0
        Mar 31, 2017 to Apr 2, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Apr 2, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Apr 2, 2018
      • Assets in custody · 70889911.0 to unset
        Mar 31, 2017 to Apr 2, 2018
      • Custody of client assets · true to false
        Mar 31, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Discretionary RAUM · $964M to $913M
        Mar 31, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 88542706.0
        Mar 31, 2017 to Apr 2, 2018
      • RAUM · $964M to $913M
        Mar 31, 2017 to Apr 2, 2018
      • Assets in custody · $61.5M to $70.9M
        Jul 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $895M to $964M
        Jul 29, 2016 to Mar 31, 2017
      Signals
      2 dated events
      • L••••• F••• M••••••••• L•• reported RAUM $7.0M, down 98% from $373.8M (2023-03-31 to 2024-03-31)
        Mar 31, 2024 · RAUM change · derived
      • L••••• F••• M••••••••• L•• reported RAUM $222.7M, down 76% from $913.1M (2018-04-02 to 2019-03-29)
        Mar 29, 2019 · 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.
      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