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••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Mar 9, 2011
RAUM
$14B
reported, Item 5.F
Discretionary
99%
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
74
44 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
49
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$14B as of Mar 17, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$11.7M as of Feb 25, 2026
Mar 29, 2024$21.9M then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 30, 20120 then
Employees (5.A)74 as of Mar 17, 2026
Apr 1, 201327 then
Private funds49 as of Mar 17, 2026
Mar 30, 20125 then
RAUM +2.4% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; 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
- $243MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.4%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, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B97%
- State and municipal entities$330M2.4%
- Other investment advisers$142M1.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.02 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
61 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• M••••• F•••• L••• | Hedge Fund | $1.4B | 117 | Mar 30, 2012 |
| L••••••• C••• F•••• L• | Hedge Fund | $869M | 30 | Mar 31, 2023 |
| L••••••• V•••• M••••• F•••• L••• | Hedge Fund | $808M | 39 | May 24, 2013 |
| L••••••• E• V•••• M••••• F•••• L••• | Hedge Fund | $769M | 9 | May 29, 2018 |
| L••••••• E• V•••• O••••••• F•••• L••• | Hedge Fund | $769M | 8 | May 29, 2018 |
| L••••••• O••••••••• V•••• M••••• F•••• L• | Hedge Fund | $742M | 12 | May 28, 2019 |
| L••••••• O••••••••• V•••• F•••• L• | Hedge Fund | $742M | 11 | May 28, 2019 |
| L••••••• V•••• O••••••• F•••• L••• | Hedge Fund | $721M | 14 | Mar 31, 2014 |
| L••••••• O••••••• F•••• L•• | Hedge Fund | $704M | 38 | Mar 30, 2012 |
| L••••••• P•••••••• L• | Hedge Fund | $662M | 78 | Mar 30, 2012 |
| T••••••• C••• 2••••• L••• | Securitized Asset Fund | $594M | 1 | Feb 25, 2020 |
| T••••••• C••• 2••••• L••• | Securitized Asset Fund | $498M | 1 | Feb 28, 2022 |
| T••••••• C••• 2••••• L••• | Securitized Asset Fund | $495M | 1 | Feb 25, 2020 |
| T••••••• C••• 2••••• L••• | Securitized Asset Fund | $474M | 1 | Mar 29, 2021 |
| C•••••••• C•• 2••••• L••• | Securitized Asset Fund | $459M | 0 | Sep 5, 2014 |
| T••••••• C••• 2••••• L•• | Securitized Asset Fund | $451M | 0 | Feb 7, 2024 |
| T••••••• C••• 2••••• L•• | Securitized Asset Fund | $400M | 0 | Feb 7, 2024 |
| T••••••• C••• 2••••• L•• | Securitized Asset Fund | $399M | 0 | Feb 10, 2023 |
| T••••••• C••• 2••••• L•• | Securitized Asset Fund | $399M | 0 | Feb 10, 2023 |
| T••••••• C••• 2••••• L••• | Securitized Asset Fund | $398M | 1 | Feb 28, 2022 |
| C•••••••• C•• 2••••• L••• | Securitized Asset Fund | $376M | 0 | Feb 6, 2019 |
| L••••••• D••••••••• M••••• F•••• L• | Hedge Fund | $263M | 100 | Mar 31, 2023 |
| P• L••••••• L•••no longer reported | Hedge Fund | $230M | 9 | Feb 20, 2014 |
| C••• I••••••••• P•••••••• L•• | Other Private Fund | $201M | 3 | Feb 25, 2020 |
| B•••••••• P•••••••• L• | Hedge Fund | $200M | 3 | Aug 9, 2023 |
| L••••••• C••• S••••••••• C••••• F•••• L•••no longer reported | Hedge Fund | $199M | 2 | Aug 17, 2017 |
| P• L••••••• I•• A• S••••••• O• P••••• M•••••• A•••••• P••••••• I••••no longer reported | Hedge Fund | $187M | 10 | Mar 30, 2016 |
| L••••••• C••• S••••••••• C••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $174M | 5 | Aug 17, 2017 |
| L••••••• O••••••••• M••••• F•••• L•no longer reported | Hedge Fund | $163M | 28 | Feb 28, 2013 |
| L••••••• P• F•••• L• | Hedge Fund | $161M | 1 | Mar 31, 2020 |
| L••••••• G•••• A•• O••••••• F•••• L••• | Hedge Fund | $161M | 6 | Mar 31, 2022 |
| L••••••• G•••• A•• M••••• F•••• L••• | Hedge Fund | $161M | 6 | Aug 19, 2021 |
| L••••••• S• C••• P••••••• I• L• | Other Private Fund | $151M | 3 | Feb 10, 2023 |
| L••••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $148M | 15 | Feb 28, 2013 |
| L••••••• O• M••••• F•••• L••• | Hedge Fund | $142M | 5 | Mar 30, 2012 |
| L••••••• O• O••••••• F•••• L••• | Hedge Fund | $141M | 4 | Mar 30, 2012 |
| L••••••• S••••••••• O••••••••• F••• •••• M••••• F••• I• L• | Private Equity Fund | $112M | 17 | Feb 28, 2022 |
| L••••••• S••••••••• O••••••••• M••••• F••• I• L• | Private Equity Fund | $112M | 17 | Feb 28, 2022 |
| T••••••• P•••••••• L• • S••••• A• | Hedge Fund | $100M | 4 | Aug 14, 2024 |
| L••••••• D••••••••• F•••• L• | Hedge Fund | $96.9M | 37 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• F••••• J•••• · Chief Operating Officer & General Counselcontrolsince 06/2010 · owns less than 5%
- L••••••• R•••• A••• · Chief Financial Officercontrolsince 08/2012 · owns less than 5%
- L•••••••• G•••• H••••• · Chief Investment Officer & Portfolio Managercontrolsince 06/2010 · owns less than 5%
- R•••••• G•••••• V• · Chief Administrative Officercontrolsince 06/2010 · owns less than 5%
- S•••••• C•••• · Portfolio Managercontrolsince 01/2018 · owns less than 5%
- S•••••• K••••••• L•• · Chief Compliance Officer & Counselcontrolsince 10/2023 · owns less than 5%
- L•••••••• G•••• H••••• · Managercontrolsince 03/2018 · owns F of L••••••• G• H•••••••• L••
- L•••••••• G•••• H••••• · Membercontrolsince 10/2010 · owns 75% or more of G•• H•••••••• L••
- L•••••••• K•••••••• L•• · Managercontrolsince 10/2010 · owns F of G•• H•••••••• L••
Entity owners
- L••••••• I••••••••• H•••••••• L• · Managerdirect · owns 75% or more
- G•• H•••••••• L•• · Limited Partnerindirect · owns 25% to 50% of L••••••• C•••••• H•••••••• L•
- G•• H•••••••• L•• · Memberindirect · owns 75% or more of L••••••• G• H•••••••• L••
- L••••••• C•••••• H•••••••• L• · Limited Partnerindirect · owns 75% or more of L••••••• I••••••••• H•••••••• L•
- L••••••• G• H•••••••• L•• · General Partnerindirect · owns F of L••••••• C•••••• H•••••••• L•
- L••••••• G• H•••••••• L•• · General Partnerindirect · owns F of L••••••• I••••••••• H•••••••• L•
Related persons
Schedule D 7.A
- L••••••• D••••••••• F••• G•• L••bankpooled vehicle sponsorn
- L••••••• G•• L••bankpooled vehicle sponsorn
- L••••••• S••••••••• O••••••••• •••• G•• L••bankpooled vehicle sponsorn
- L••••••• S••••••••• O••••••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 55 to 57Feb 25, 2026 to Mar 17, 2026
- Advisory employees · 43 to 44Feb 25, 2026 to Mar 17, 2026
- HNW clients · 1.0 to unsetFeb 25, 2026 to Mar 17, 2026
- Pooled vehicle clients · 52 to 55Feb 25, 2026 to Mar 17, 2026
- Employees · 68 to 74Feb 25, 2026 to Mar 17, 2026
- Private funds · 47 to 49Feb 25, 2026 to Mar 17, 2026
- Discretionary RAUM · $13B to $14BFeb 25, 2026 to Mar 17, 2026
- HNW RAUM · 11656000.0 to unsetFeb 25, 2026 to Mar 17, 2026
- Non-discretionary RAUM · $201M to $108MFeb 25, 2026 to Mar 17, 2026
- Pooled vehicle RAUM · $13B to $13BFeb 25, 2026 to Mar 17, 2026
- RAUM · $14B to $14BFeb 25, 2026 to Mar 17, 2026
- Related adviser · true to falseFeb 25, 2026 to Mar 17, 2026
- Private funds · 43 to 47Apr 8, 2025 to Feb 25, 2026
- Accounts · 49 to 55Feb 24, 2025 to Apr 8, 2025
- Advisory employees · 38 to 43Feb 24, 2025 to Apr 8, 2025
- Pooled vehicle clients · 46 to 52Feb 24, 2025 to Apr 8, 2025
- Employees · 61 to 68Feb 24, 2025 to Apr 8, 2025
- Financial planning clients · unset to Feb 24, 2025 to Apr 8, 2025
- Other offices · 0 to 2Feb 24, 2025 to Apr 8, 2025
- Discretionary RAUM · $11B to $13BFeb 24, 2025 to Apr 8, 2025
- HNW RAUM · $21.9M to $11.7MFeb 24, 2025 to Apr 8, 2025
- Pooled vehicle RAUM · $11B to $13BFeb 24, 2025 to Apr 8, 2025
- RAUM · $11B to $14BFeb 24, 2025 to Apr 8, 2025
- Private funds · 42 to 43Aug 14, 2024 to Feb 24, 2025
- Private funds · 40 to 42Mar 29, 2024 to Aug 14, 2024
- Accounts · 40 to 49Feb 7, 2024 to Mar 29, 2024
- Advisory employees · 33 to 38Feb 7, 2024 to Mar 29, 2024
- Advisory activities · 1 to 2Feb 7, 2024 to Mar 29, 2024
- HNW clients · unset to 1.0Feb 7, 2024 to Mar 29, 2024
- Pooled vehicle clients · 41 to 46Feb 7, 2024 to Mar 29, 2024
- Employees · 54 to 61Feb 7, 2024 to Mar 29, 2024
- Private funds · 45 to 40Feb 7, 2024 to Mar 29, 2024
- Discretionary RAUM · $9.8B to $11BFeb 7, 2024 to Mar 29, 2024
- HNW RAUM · unset to 21857000.0Feb 7, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $9.9B to $11BFeb 7, 2024 to Mar 29, 2024
- RAUM · $10.0B to $11BFeb 7, 2024 to Mar 29, 2024
- Private funds · 41 to 45Nov 16, 2023 to Feb 7, 2024
- Private funds · 40 to 41Apr 18, 2023 to Aug 9, 2023
- Accounts · 41 to 40Mar 31, 2023 to Apr 18, 2023
- Discretionary RAUM · $9.6B to $9.8BMar 31, 2023 to Apr 18, 2023
Signals
10 dated events
- Lee Kenneth Seiler (Chief Compliance Officer & Counsel) appeared on Schedule A of L••••••• C••••••• L••Nov 16, 2023 · Control person joined · fact
- (Nmn) Preeti Kohli (Chief Compliance Officer) no longer on Schedule A of L••••••• C••••••• L•• (listed 2023-08-09, absent 2023-11-16)Nov 16, 2023 · Control person left · inference
- Joseph Fred Brettschneider (President) no longer on Schedule A of L••••••• C••••••• L•• (listed 2023-04-18, absent 2023-08-09)Aug 9, 2023 · Control person left · inference
- (Nmn) Preeti Kohli (Chief Compliance Officer) appeared on Schedule A of L••••••• C••••••• L••Dec 13, 2022 · Control person joined · fact
- L••••••• C••••••• L•• reported RAUM $9.0B, down 32% from $13.3B (2022-02-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- L••••••• C••••••• L•• reported RAUM $13.3B, up 33% from $10.0B (2020-11-03 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Jackson Luke Doramus (Co-Head Of Trading) no longer on Schedule A of L••••••• C••••••• L•• (listed 2020-03-31, absent 2020-11-03)Nov 3, 2020 · Control person left · inference
- L••••••• C••••••• L•• reported RAUM $10.0B, up 57% from $6.4B (2020-02-25 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Youyu Eugene Xu (Head Of Investing Technology) no longer on Schedule A of L••••••• C••••••• L•• (listed 2019-05-28, absent 2020-02-25)Feb 25, 2020 · Control person left · inference
- L••••••• C••••••• L•• reported RAUM $6.4B, up 79% from $3.6B (2018-11-30 to 2019-02-06)Feb 6, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- L••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- L•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 612-1550reportedpublic record, Form ADV, Mar 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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