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.

Former SEC-registered adviser

Loeb King Capital Management (D/B/A)

Former SEC-registered adviserNew York, New YorkCRD 152601SEC 801-78423IAPD
Legal name Carl M. Loeb Advisory Partners L.P.
Latest filing Jun 17, 2014
First filing on the tape Dec 23, 2011 · 8 filings
RAUM
$119M
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
27
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM: $119M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 27
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 17, 2014; 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
$59.6MderivedRAUM 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
unknownderived1 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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)
  • 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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ivan Jamie Grossman · Chief Operating Officercontrol
        since 08/2013 · owns less than 5%
      • Scott David Hampson · Chief Financial Officercontrol
        since 12/2009 · owns less than 5%
      • Lenox Thomas Kempner · Chairmancontrol
        since 12/2009 · owns less than 5%
      • Jeremy Gideon King · Ceocontrol
        since 12/2009 · owns less than 5%
      • Scott Robert Schwartz · General Counsel And Chief Compliance Officercontrol
        since 08/2012 · owns less than 5%
      • Lenox Thomas Kempner · Chairman Of The Board Of Managerscontrol
        since 05/2007 · owns 50% to 75% of Carl M. Loeb & Co. LLC
      • Jeremy Gideon King · General Partnercontrol
        since 03/2010 · owns 75% or more of Lb Partners, L.P.
      Entity owners
      • Carl M. Loeb & Co. LLC · Limited Partner
        direct · owns 50% to 75%
      • Carl M. Loeb Management Holding LLC · General Partner
        direct · owns less than 5%
      • Lb Partners, L.P. · Limited Partner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list Loeb King Capital Management (D/B/A) as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Dec 12, 2013 to Mar 28, 2014
      • Advisory activities · 1 to 2
        Dec 12, 2013 to Mar 28, 2014
      • Discretionary RAUM · $15.9M to $119M
        Dec 12, 2013 to Mar 28, 2014
      • RAUM · $15.9M to $119M
        Dec 12, 2013 to Mar 28, 2014
      • Accounts · unset to 1.0
        Aug 2, 2013 to Dec 12, 2013
      • Advisory employees · 11 to 12
        Aug 2, 2013 to Dec 12, 2013
      • BD registered reps · 5 to 4
        Aug 2, 2013 to Dec 12, 2013
      • Business name · CARL M. LOEB ADVISORY PARTNERS L.P. to LOEB KING CAPITAL MANAGEMENT (D/B/A)
        Aug 2, 2013 to Dec 12, 2013
      • Employees · 28 to 27
        Aug 2, 2013 to Dec 12, 2013
      • Discretionary RAUM · unset to 15933031.0
        Aug 2, 2013 to Dec 12, 2013
      • Non-discretionary RAUM · unset to 0.0
        Aug 2, 2013 to Dec 12, 2013
      • RAUM · unset to 15933031.0
        Aug 2, 2013 to Dec 12, 2013
      • Advisory employees · 0 to 11
        Sep 6, 2012 to Aug 2, 2013
      • Advisory activities · 3 to 1
        Sep 6, 2012 to Aug 2, 2013
      • BD registered reps · 0 to 5
        Sep 6, 2012 to Aug 2, 2013
      • Employees · unset to 28.0
        Sep 6, 2012 to Aug 2, 2013
      • State-registered IARs · unset to 0.0
        Sep 6, 2012 to Aug 2, 2013
      Signals
      1 dated events
      • Carl M. Loeb Advisory Partners L.P. filed its initial SEC registration (Form ADV)
        Aug 2, 2013 · First SEC registration · fact
      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