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•• C••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 144083SEC 801-67973IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$231M
reported, Item 5.F
Discretionary
57%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$87.8M gross assets
History
7 filings and snapshots on the tape
RAUM$231M as of Mar 30, 2015
Mar 30, 2012$138M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 30, 20120 then
Employees (5.A)3 as of Mar 30, 2015
Mar 14, 20135 then
Private funds4 as of Mar 30, 2015
Mar 30, 20122 then
RAUM +109% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$57.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
57%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
+109%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 vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$94.4M, 4 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$94.4M for 4 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• S•••• C•• R••• E••••• F••• I••••• L•Real Estate Fund$01Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• T•••••• B••••• · Partnercontrol
        since 03/2007 · owns less than 5%
      • D• P••••••••• O••••••• •••• · Managercontrol
        since 05/2014 · owns less than 5%
      • G•••••••• J•••••• M•••••••• · Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • G•••• S•••••• M••• · Managercontrol
        since 11/2012 · owns less than 5%
      • P•••••••• R••••••• •••• · Managercontrol
        since 11/2012 · owns less than 5%
      • V•• B•••• J•••••• P•••• H•••• W••••• · Managercontrol
        since 05/2014 · owns less than 5%
      • V•• U•• Z• L••••••••• J•••••• A••• P••• I• · Beneficiarycontrol
        since 01/1970 · owns F of P••••• O• L••••••••• F•••••••••
      Entity owners
      • L•• C•••••• P••••••• H•••••• •••• I••• · Member
        direct · owns 75% or more
      • L•• C•••••• P••••••• L•• · Shareholder
        indirect · owns 75% or more of L•• C•••••• P••••••• H•••••• •••• I•••
      • L•• G•••• F••••••••• · Shareholder
        indirect · owns 75% or more of L•• H•••••• ••••••••• L••••••
      • L•• H•••••• ••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of L•• H•••••• D•••••• A••
      • L•• H•••••• D•••••• A•• · Shareholder
        indirect · owns 75% or more of Lgt Holidng International Ltd.
      • L•• H•••••• I••••••••• L••• · Shareholder
        indirect · owns 75% or more of L•• C•••••• P••••••• L••
      • P••••• O• L••••••••• F••••••••• · Beneficiary
        indirect · owns F of L•• G•••• F•••••••••
      Related persons
      Schedule D 7.A
      • L•• B••• ••••••• L••
        investment advisern
      • L•• B••• •••••••• L••••••
        n
      • L•• B••• ••••••••• L••
        broker-dealerinvestment advisern
      • L•• B••• ••••••••• L•••
        broker-dealerinvestment advisern
      • L•• B••• L•••
        broker-dealerinvestment advisern
      • L•• C•••••• P••••••• ••••••••• L•••
        investment advisern
      • L•• C•••••• P••••••• ••••••••• P•• L••••••
        investment advisern
      • L•• C•••••• P••••••• •••••••• L••••••
        investment advisern
      • L•• C•••••• P••••••• •••••• L••••••
        investment advisern
      • L•• C•••••• P••••••• ••• L••
        investment adviserbankn
      • L•• C•••••• P••••••• •••••••• L••••••
        investment adviserbankpooled vehicle sponsorn
      • L•• C•••••• P••••••• •••••• C•• L•••
        investment advisern
      • L•• C•••••• P••••••• ••• L••
        investment advisern
      • L•• C•••••• P••••••• •••• I•••
        investment adviserbanknRAUM $60B
      • L•• C•••••• P••••••• A••••••• A•
        investment advisern
      • L•• C•••••• P••••••• L••
        investment adviserbanky
      • L•• I•• P••••••• L••
        investment adviserbankn
      • L•• I••••••••• M••••••••• ••••• L••••••
        investment advisern
      • L•• I••••••••• P••••••• L•••
        investment adviserbankn
      • L•• P•••••• E••••• A••••••• A•
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • Pfaeffikon, Switzerland
      What changed
      consecutive filings, newest first
      • BD registered reps · 2 to 1
        Oct 8, 2014 to Mar 30, 2015
      • Advisory employees · 2 to 3
        Oct 8, 2014 to Mar 30, 2015
      • Assets in custody · $88.5M to $94.4M
        Oct 8, 2014 to Mar 30, 2015
      • Discretionary RAUM · $137M to $133M
        Oct 8, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $97.9M to $98.2M
        Oct 8, 2014 to Mar 30, 2015
      • RAUM · $235M to $231M
        Oct 8, 2014 to Mar 30, 2015
      • Advisory employees · 3 to 2
        Jun 25, 2014 to Oct 8, 2014
      • Employees · 4 to 3
        Jun 25, 2014 to Oct 8, 2014
      • Accounts · 2 to 4
        Mar 31, 2014 to Jun 25, 2014
      • Discretionary RAUM · $110M to $137M
        Mar 31, 2014 to Jun 25, 2014
      • Non-discretionary RAUM · $0 to $97.9M
        Mar 31, 2014 to Jun 25, 2014
      • RAUM · $110M to $235M
        Mar 31, 2014 to Jun 25, 2014
      • Advisory employees · 4 to 3
        Mar 14, 2013 to Mar 31, 2014
      • Advisory activities · 2 to 3
        Mar 14, 2013 to Mar 31, 2014
      • BD registered reps · 0 to 2
        Mar 14, 2013 to Mar 31, 2014
      • Assets in custody · $88.0M to $88.5M
        Mar 14, 2013 to Mar 31, 2014
      • Employees · 5 to 4
        Mar 14, 2013 to Mar 31, 2014
      • Private funds · 2 to 4
        Mar 14, 2013 to Mar 31, 2014
      • Discretionary RAUM · $88.0M to $110M
        Mar 14, 2013 to Mar 31, 2014
      • RAUM · $88.0M to $110M
        Mar 14, 2013 to Mar 31, 2014
      • Advisory employees · 6 to 4
        Feb 15, 2013 to Mar 14, 2013
      • BD registered reps · 1 to 0
        Feb 15, 2013 to Mar 14, 2013
      • Business name · C••••••••• C•••••• A•••••••• L•• to L•• C••••••••• L••
        Feb 15, 2013 to Mar 14, 2013
      • Employees · 7 to 5
        Feb 15, 2013 to Mar 14, 2013
      • Legal name · C••••••••• C•••••• A•••••••• L•• to L•• C••••••••• L••
        Feb 15, 2013 to Mar 14, 2013
      • Discretionary RAUM · $138M to $88.0M
        Feb 15, 2013 to Mar 14, 2013
      • RAUM · $138M to $88.0M
        Feb 15, 2013 to Mar 14, 2013
      • Advisory employees · unset to 6.0
        Mar 30, 2012 to Feb 15, 2013
      • Advisory activities · 1 to 2
        Mar 30, 2012 to Feb 15, 2013
      • BD registered reps · unset to 1.0
        Mar 30, 2012 to Feb 15, 2013
      • Assets in custody · $68.0M to $88.0M
        Mar 30, 2012 to Feb 15, 2013
      • Employees · unset to 7.0
        Mar 30, 2012 to Feb 15, 2013
      • Related adviser · false to true
        Mar 30, 2012 to Feb 15, 2013
      • Related bank · false to true
        Mar 30, 2012 to Feb 15, 2013
      • Related broker-dealer · false to true
        Mar 30, 2012 to Feb 15, 2013
      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
      Across the graphs

      L•• C••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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