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••
Latest filing Apr 2, 2013
First filing on the tape Dec 20, 2011 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: $5.0B
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2013
Mar 26, 20120 then
Employees (5.A): 1
Private funds: 18
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2013; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- n/areported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- A••• Z••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- M••• E•••••• S••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- J•••••• S•••• D••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- E••• S•••• H••••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- D••• I•••• H•••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- I•• D•••• L•••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- S••••• P•••••• S••••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- F•••• J••••• M•••••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- R••••• J••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- M••••• H•••••• M••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- J•••••• S• W•••••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- N••• E• F•• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- K•• P•••••• I• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- D•••• C••• H•• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
- J•••• E••• L••••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 1, 2013 · Other
Joined, latest
- J•••••• S• W•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 12, 2008 · Other
- J•••••• S•••• D••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 6, 2008 · Other
- V••••• S•••••••• L••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 6, 2008 · Other
- F•••• J••••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 6, 2008 · Other
- M••••• H•••••• M••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 6, 2008 · Other
- A••• Z••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 12, 2008 · Other
- M••• E•••••• S••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 9, 2008 · Other
- R••••• J••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 9, 2008 · Other
- D•••• C••• H•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 9, 2008 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• C•••••• S••••• C••••• F••• • A• L••• | Private Equity Fund | $95.2M | 113 | Mar 26, 2012 |
| L••••••• C•••••• S••••• C••••• F•••• L••• | Private Equity Fund | $95.2M | 99 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• E•••• S•••• · Partnercontrolsince 01/2009 · owns less than 5%
- H••• D••••• C••• · Partnercontrolsince 05/2008 · owns less than 5%
- I•• K••• P•••••• · Partner & Chief Compliance Officercontrolsince 05/2008 · owns less than 5%
- S•••• M•••• E•••••• · Partnercontrolsince 05/2008 · owns less than 5%
- S••••••• R•••••• J••• · Partnercontrolsince 05/2008 · owns less than 5%
- Z•••••• A••• · Partnercontrolsince 05/2008 · owns less than 5%
- H••• D••••• C••• · Membercontrolsince 05/2011 · owns 25% to 50% of L••••••• C•••••• H•••••••• L••
Entity owners
- L••••••• C•••••• H•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••••••• C•••••• I•••••••• S••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Portola Valley, CA
What changed
consecutive filings, newest first
- Accounts · 2365.0 to unsetJan 9, 2013 to Apr 1, 2013
- Advisory employees · 26 to 0Jan 9, 2013 to Apr 1, 2013
- Advisory activities · 5 to 1Jan 9, 2013 to Apr 1, 2013
- Employees · 29 to 1Jan 9, 2013 to Apr 1, 2013
- State-registered IARs · 26 to 0Jan 9, 2013 to Apr 1, 2013
- Private funds · 18 to unsetJan 9, 2013 to Apr 1, 2013
- Discretionary RAUM · 4857803704.0 to unsetJan 9, 2013 to Apr 1, 2013
- Non-discretionary RAUM · 483638443.0 to unsetJan 9, 2013 to Apr 1, 2013
- RAUM · 5341442147.0 to unsetJan 9, 2013 to Apr 1, 2013
- Advisory employees · unset to 26.0Sep 11, 2012 to Jan 9, 2013
- Employees · unset to 29.0Sep 11, 2012 to Jan 9, 2013
- State-registered IARs · 0 to 26Sep 11, 2012 to Jan 9, 2013
- Accounts · 2,164 to 2,365Jul 3, 2012 to Aug 17, 2012
- Discretionary RAUM · $4.5B to $4.9BJul 3, 2012 to Aug 17, 2012
- Non-discretionary RAUM · $458M to $484MJul 3, 2012 to Aug 17, 2012
- RAUM · $5.0B to $5.3BJul 3, 2012 to Aug 17, 2012
- Accounts · 1,944 to 2,164Dec 20, 2011 to Mar 26, 2012
- Advisory activities · 4 to 5Dec 20, 2011 to Mar 26, 2012
- Insurance-licensed employees · unset to 0.0Dec 20, 2011 to Mar 26, 2012
- Financial planning clients · 0 to 1-10Dec 20, 2011 to Mar 26, 2012
- Private funds · unset to 18Dec 20, 2011 to Mar 26, 2012
- Discretionary RAUM · $4.2B to $4.5BDec 20, 2011 to Mar 26, 2012
- Non-discretionary RAUM · $465M to $458MDec 20, 2011 to Mar 26, 2012
- RAUM · $4.7B to $5.0BDec 20, 2011 to Mar 26, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- L••••••• C••••••• 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
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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