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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SEC-registered adviser
L••••• • C••
Legal name L••••• • C••• L••
Latest filing Apr 30, 2026
First filing on the tape Dec 15, 2011 · 42 filings
SEC status approved since May 4, 2010
RAUM
$153M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
67%
$102M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$153M as of Apr 30, 2026
Mar 26, 2012$80.6M then
HNW client RAUM$102M as of Apr 30, 2026
Mar 29, 2018$62.3M then
State-registered IARs (5.B.3)2 as of Apr 30, 2026
Mar 26, 20120 then
Employees (5.A)5 as of Apr 30, 2026
Mar 22, 20134 then
Private funds3 as of Apr 30, 2026
Mar 22, 20132 then
RAUM n/a over the last fiscal year+11% a year over three
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- 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
- RAUM per advisor
- $76.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $20.6M, 12 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M67%
- Corporations and businesses$45.5M30%
- Pooled investment vehicles$5.0M3.2%
- Individual clients
- 0reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 131reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.6M for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.67 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• B• G•••••••• | New York, Ny | Mar 7, 2014 | 25 y | 2 |
| M•••••• M•••• L•••••Chartered Financial Analyst | New York, Ny | Aug 24, 2021 | 22 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• M•••• L••••• from S••••• I••••••••• S••••••• C••••Aug 24, 2021 · Other
- P•••• B• G•••••••• from W•••• F•••• A•••••••Mar 7, 2014 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• E••••• O••••••••• F••• | Hedge Fund | $2.6M | 9 | Jun 14, 2012 |
| L••••• S••••• V••••••• S•• I• L•• | Venture Capital Fund | $1.1M | 14 | Sep 18, 2023 |
| L••••• H••• I••••• O••••••••• F••• | Hedge Fund | $1.0M | 4 | Jun 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• M••••••• M•••• · Chief Executive Officer, Chief Compliance Officer, Class Bcontrolsince 04/2010 · owns 75% or more
- G••••••• C•••• · Managing Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- G••••••• G•••••• · Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• Capital Group
- G••••••• J•••••• J••••• · Managing Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- G••••••• M•••• · Membercontrolsince 09/2010 · owns 25% to 50% of G•••••• C•••••• G••••• L••
- H•••••••• D••••• P••••• · Managing Membercontrolsince 11/2010 · owns 50% to 75% of D•••••• L••
- H•••••••• R••• A•••• · Managing Membercontrolsince 11/2010 · owns 50% to 75% of D•••••• L••
- S•••••• G••••••• R•••••• · Managing Membercontrolsince 11/2008 · owns F of G•• C•••••••• L••
- S•••••• R•••••• H••••• · Membercontrolsince 11/2008 · owns 25% to 50% of G•• C•••••••• L••
- S•••••• R•••• D•••• · Membercontrolsince 11/2008 · owns 25% to 50% of G•• C•••••••• L••
- K•••••••• A••••••• I•••• · Member, Class Asince 11/2010 · owns 5% to 10%
- S•••••• E•••••• D••••• · Member, Class Asince 08/2014 · owns 5% to 10%
Entity owners
- D•••••• L•• · Member, Class Adirect · owns 25% to 50%
- G•••••• C•••••• G••••• L•• · Member, Class Adirect · owns 25% to 50%
- G•• C•••••••• L•• · Member, Class Adirect · owns 10% to 25%
Related persons
Schedule D 7.A
- L••••••• L•••••• F•••••• A•••••••• L••investment adviseryRAUM $84.2M
Advisers that list L••••• • C•• as a related person
- 169980 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 127 to 131May 1, 2025 to Mar 30, 2026
- Corporate clients · 19 to 20May 1, 2025 to Mar 30, 2026
- Assets in custody · $17.3M to $20.6MMay 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $117M to $128MMay 1, 2025 to Mar 30, 2026
- HNW RAUM · $92.0M to $102MMay 1, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $26.4M to $25.1MMay 1, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $5.6M to $5.0MMay 1, 2025 to Mar 30, 2026
- RAUM · $144M to $153MMay 1, 2025 to Mar 30, 2026
- Accounts · 122 to 127May 28, 2024 to May 1, 2025
- Corporate clients · 17 to 19May 28, 2024 to May 1, 2025
- Assets in custody · $14.3M to $17.3MMay 28, 2024 to May 1, 2025
- Financial planning clients · 1-10 to 0May 28, 2024 to May 1, 2025
- Discretionary RAUM · $109M to $117MMay 28, 2024 to May 1, 2025
- HNW RAUM · $87.6M to $92.0MMay 28, 2024 to May 1, 2025
- Non-discretionary RAUM · $14.8M to $26.4MMay 28, 2024 to May 1, 2025
- Pooled vehicle RAUM · $4.6M to $5.6MMay 28, 2024 to May 1, 2025
- RAUM · $124M to $144MMay 28, 2024 to May 1, 2025
- Accounts · 119 to 122Sep 18, 2023 to Mar 29, 2024
- HNW clients · 48 to 47Sep 18, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 3Sep 18, 2023 to Mar 29, 2024
- Assets in custody · $11.2M to $14.3MSep 18, 2023 to Mar 29, 2024
- Financial planning clients · 0 to 1-10Sep 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $98.9M to $109MSep 18, 2023 to Mar 29, 2024
- HNW RAUM · $77.3M to $87.6MSep 18, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $12.6M to $14.8MSep 18, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.1M to $4.6MSep 18, 2023 to Mar 29, 2024
- RAUM · $112M to $124MSep 18, 2023 to Mar 29, 2024
- Private funds · 2 to 3Mar 28, 2023 to Sep 18, 2023
- Accounts · 110 to 119Nov 3, 2022 to Mar 28, 2023
- Corporate clients · 14 to 17Nov 3, 2022 to Mar 28, 2023
- HNW clients · 45 to 48Nov 3, 2022 to Mar 28, 2023
- Assets in custody · $13.5M to $11.2MNov 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $120M to $98.9MNov 3, 2022 to Mar 28, 2023
- HNW RAUM · $95.6M to $77.3MNov 3, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $18.1M to $12.6MNov 3, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $3.9M to $3.1MNov 3, 2022 to Mar 28, 2023
- RAUM · $138M to $112MNov 3, 2022 to Mar 28, 2023
- Accounts · 98 to 110Nov 3, 2021 to Mar 30, 2022
- Corporate clients · 12 to 14Nov 3, 2021 to Mar 30, 2022
- HNW clients · 37 to 45Nov 3, 2021 to Mar 30, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- L••••• • C•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@l•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-319-8000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-319-8900reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/L•••••-&-CO.---INVESTMENT-AND-WEALTH-MAreportedpublic record, Form ADV, Sep 19, 2026
- Website
- L•••••CO.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 319-8900reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- l•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- l•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $76.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026