DFX Intelligence

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L••••• C•••••• M••••••••• L•

Independent wealth managerSEC-registered1 private funds· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $87.9M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $87.9M
Advisors: 0
RAUM change, 1 year: +3.8%
Private clients: 95%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $84.7M to $87.9M (+3.8%) on the Form ADV filed 27 Mar 2026.

Every filed figure, and the identifiersCRD 153273 · SEC 801-73003 · 25 filingsShow

CRD 153273SEC 801-73003First filing on the tape Dec 22, 2011, latest Mar 27, 2026SEC status approved since Jan 11, 2012IAPD

RAUM

$87.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

95%

$83.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM +8.4% a year over three years · the tape starts Dec 22, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$87.9M as of Mar 27, 2026

Mar 8, 2012$34.1M then

HNW client RAUM$82.2M as of Mar 27, 2026

Mar 27, 2018$78.3M then

State-registered IARs (5.B.3)1 as of Mar 27, 2026

Mar 8, 20120 then

Employees (5.A)4 as of Mar 27, 2026

Mar 15, 20132 then

Private funds1 as of Mar 27, 2026

Mar 23, 20221 then

RAUM +3.8% over the last fiscal year+8.4% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $87.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 78derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +3.8%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.7%derived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

93% high-net-worth individuals, 5.5% pooled investment vehicles, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$82.2M93%
Pooled investment vehicles$4.8M5.5%
Individuals$910,6171.0%

Individual clients: 10reported
HNW clients: 68reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 78reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: RAUM: 95% private clients, 5% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
L••••• A•••• F••• L•	Hedge Fund	$4.8M	3	Jul 6, 2021

Owners and control persons

Schedule A and B, latest filing

K•••••• E••••• R• · Ceo & Chief Compliance Officercontrol
since 10/2010 · owns 75% or more

Related persons

Schedule D 7.A

L••••• A•••• G• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 182 to 78
Mar 21, 2025 to Mar 27, 2026
HNW clients · 72 to 68
Mar 21, 2025 to Mar 27, 2026
Individual clients · 9 to 10
Mar 21, 2025 to Mar 27, 2026
Discretionary RAUM · $84.7M to $87.9M
Mar 21, 2025 to Mar 27, 2026
HNW RAUM · $73.4M to $82.2M
Mar 21, 2025 to Mar 27, 2026

Full history · 80 changes

Individual RAUM · $795,288 to $910,617
Mar 21, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $10.5M to $4.8M
Mar 21, 2025 to Mar 27, 2026
RAUM · $84.7M to $87.9M
Mar 21, 2025 to Mar 27, 2026
Accounts · 168 to 182
Mar 25, 2024 to Mar 21, 2025
HNW clients · 71 to 72
Mar 25, 2024 to Mar 21, 2025
Individual clients · 6 to 9
Mar 25, 2024 to Mar 21, 2025
Pooled vehicle clients · 10 to 7
Mar 25, 2024 to Mar 21, 2025
Financial planning clients · 51-100 to 51-100
Mar 25, 2024 to Mar 21, 2025
Discretionary RAUM · $78.3M to $84.7M
Mar 25, 2024 to Mar 21, 2025
HNW RAUM · $69.9M to $73.4M
Mar 25, 2024 to Mar 21, 2025
Individual RAUM · $395,493 to $795,288
Mar 25, 2024 to Mar 21, 2025
Pooled vehicle RAUM · $8.0M to $10.5M
Mar 25, 2024 to Mar 21, 2025
RAUM · $78.3M to $84.7M
Mar 25, 2024 to Mar 21, 2025
Accounts · 173 to 168
Apr 5, 2023 to Mar 25, 2024
HNW clients · 63 to 71
Apr 5, 2023 to Mar 25, 2024
Individual clients · 12 to 6
Apr 5, 2023 to Mar 25, 2024
Discretionary RAUM · $69.0M to $78.3M
Apr 5, 2023 to Mar 25, 2024
HNW RAUM · $62.8M to $69.9M
Apr 5, 2023 to Mar 25, 2024
Individual RAUM · $1.8M to $395,493
Apr 5, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $4.3M to $8.0M
Apr 5, 2023 to Mar 25, 2024
RAUM · $69.0M to $78.3M
Apr 5, 2023 to Mar 25, 2024
Accounts · 178 to 173
Feb 7, 2023 to Mar 29, 2023
Individual clients · 13 to 12
Feb 7, 2023 to Mar 29, 2023
Discretionary RAUM · $77.7M to $69.0M
Feb 7, 2023 to Mar 29, 2023
HNW RAUM · $61.7M to $62.8M
Feb 7, 2023 to Mar 29, 2023
Individual RAUM · $2.1M to $1.8M
Feb 7, 2023 to Mar 29, 2023
Pooled vehicle RAUM · $14.0M to $4.3M
Feb 7, 2023 to Mar 29, 2023
RAUM · $77.7M to $69.0M
Feb 7, 2023 to Mar 29, 2023
Accounts · 179 to 178
Mar 23, 2022 to Feb 7, 2023
Advisory activities · 5 to 4
Mar 23, 2022 to Feb 7, 2023
Pooled vehicle clients · 11 to 10
Mar 23, 2022 to Feb 7, 2023
Discretionary RAUM · $78.6M to $77.7M
Mar 23, 2022 to Feb 7, 2023
Pooled vehicle RAUM · $14.9M to $14.0M
Mar 23, 2022 to Feb 7, 2023
RAUM · $78.6M to $77.7M
Mar 23, 2022 to Feb 7, 2023
Related adviser · false to true
Mar 23, 2022 to Feb 7, 2023
Accounts · 172 to 179
Jul 6, 2021 to Mar 23, 2022
HNW clients · 64 to 63
Jul 6, 2021 to Mar 23, 2022
Individual clients · 12 to 13
Jul 6, 2021 to Mar 23, 2022
Pooled vehicle clients · 12 to 11
Jul 6, 2021 to Mar 23, 2022
Discretionary RAUM · $81.8M to $78.6M
Jul 6, 2021 to Mar 23, 2022
HNW RAUM · $62.2M to $61.7M
Jul 6, 2021 to Mar 23, 2022
Individual RAUM · $938,970 to $2.1M
Jul 6, 2021 to Mar 23, 2022
Pooled vehicle RAUM · $18.6M to $14.9M
Jul 6, 2021 to Mar 23, 2022
RAUM · $81.8M to $78.6M
Jul 6, 2021 to Mar 23, 2022
Private funds · unset to 1
May 13, 2021 to Jul 6, 2021
Accounts · 81 to 172
Mar 31, 2020 to Mar 29, 2021
HNW clients · 74 to 64
Mar 31, 2020 to Mar 29, 2021
Individual clients · 19 to 12
Mar 31, 2020 to Mar 29, 2021
Pooled vehicle clients · 9 to 12
Mar 31, 2020 to Mar 29, 2021
Discretionary RAUM · $64.2M to $81.8M
Mar 31, 2020 to Mar 29, 2021
HNW RAUM · $61.9M to $62.2M
Mar 31, 2020 to Mar 29, 2021
Individual RAUM · $510,046 to $938,970
Mar 31, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $1.8M to $18.6M
Mar 31, 2020 to Mar 29, 2021
RAUM · $64.2M to $81.8M
Mar 31, 2020 to Mar 29, 2021
Accounts · 159 to 81
Mar 26, 2019 to Mar 31, 2020
Other offices · 1 to 0
Mar 26, 2019 to Mar 31, 2020
Discretionary RAUM · $77.8M to $64.2M
Mar 26, 2019 to Mar 31, 2020
HNW RAUM · $69.9M to $61.9M
Mar 26, 2019 to Mar 31, 2020
Individual RAUM · $6.9M to $510,046
Mar 26, 2019 to Mar 31, 2020
Non-discretionary RAUM · $630,000 to $0
Mar 26, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $1.7M to $1.8M
Mar 26, 2019 to Mar 31, 2020
RAUM · $78.4M to $64.2M
Mar 26, 2019 to Mar 31, 2020
Accounts · 142 to 159
Mar 27, 2018 to Mar 26, 2019
HNW clients · 79 to 74
Mar 27, 2018 to Mar 26, 2019
Individual clients · 16 to 19
Mar 27, 2018 to Mar 26, 2019
Pooled vehicle clients · 7 to 9
Mar 27, 2018 to Mar 26, 2019
Legal name · L••••• C•••••• M••••••••• L•• to L••••• C•••••• M••••••••• L•
Mar 27, 2018 to Mar 26, 2019
Discretionary RAUM · $90.9M to $77.8M
Mar 27, 2018 to Mar 26, 2019
HNW RAUM · $78.3M to $69.9M
Mar 27, 2018 to Mar 26, 2019
Individual RAUM · $4.5M to $6.9M
Mar 27, 2018 to Mar 26, 2019
Non-discretionary RAUM · $0 to $630,000
Mar 27, 2018 to Mar 26, 2019
Pooled vehicle RAUM · $8.1M to $1.7M
Mar 27, 2018 to Mar 26, 2019
RAUM · $90.9M to $78.4M
Mar 27, 2018 to Mar 26, 2019
Accounts · 164 to 142
Jun 23, 2017 to Mar 27, 2018
Business name · L••••• C•••••• M••••••••• L•• to L••••• C•••••• M••••••••• L•
Jun 23, 2017 to Mar 27, 2018

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.

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.