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•••••• M••••••••• L•
Latest filing Mar 10, 2026
First filing on the tape Jan 26, 2012 · 21 filings
SEC status approved since Feb 6, 2012
RAUM
$3.4B
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
13
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.4B as of Mar 10, 2026
Feb 13, 2013$2.5B then
HNW client RAUM$0 as of Mar 10, 2026
Feb 13, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Feb 13, 20130 then
Employees (5.A)13 as of Mar 10, 2026
Feb 13, 201310 then
Private funds1 as of Mar 10, 2026
Feb 13, 20131 then
RAUM +7.6% over the last fiscal year+6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $1.7BderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%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 vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$3.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• C•••••• P•••••••• L• | Hedge Fund | $3.1B | 279 | Jan 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• C••••••••• · Chief Compliance Officercontrolsince 04/2007 · owns less than 5%
- B••••• A••••••• T••••••• · Managing Partnercontrolsince 01/2007 · owns 75% or more
- D•••••• C••••••••• R••••• · Chief Financial Officercontrolsince 01/2018 · owns less than 5%
- J••••••• W••••••• L•• · Partnercontrolsince 02/2007 · owns 10% to 25%
- B••••• A••••••• T••••••• · Membercontrolsince 01/2007 · owns 75% or more of L••••••• C•••••• M••••••••• •••• L••
- J••••••• W••••••• L•• · Membercontrolsince 01/2007 · owns F of L••••••• C•••••• M••••••••• •••• L••
Entity owners
- L••••••• C•••••• M••••••••• •••• L•• · General Partnerdirect · owns less than 5%
- G•••••• S•••• P• I• A•••••••• L•• · General Partnerindirect · owns F of P••••••••• I• L•
- G•••••• S•••• P• I• A•••••••• L•• · General Partnerindirect · owns F of P••••••••• I• O••••••• L•
- G••• G••••••• L••••• · Sole Memberindirect · owns 75% or more of G•••••• S•••• Ph II Advisors LLC
- G••• H••••••• L•• · Sole Memberindirect · owns 75% or more of G••• G••••••• L•••••
- P••••••••• I• L• · Sole Ownerindirect · owns 75% or more of L•••••• U• I• H••••••• L••
- P••••••••• I• O••••••• L• · Sole Ownerindirect · owns 75% or more of L•••••• O••••••• I• H••••••• C•••
- P••••••••• P••••••• P•• · Sole Shareholderindirect · owns 75% or more of D•••• E•••••• D•••••••• I•••
- T•• G•••••• S•••• G••••• I••• · Sole Memberindirect · owns 75% or more of G••• H••••••• L••
- D•••• E•••••• D•••••••• I••• · Limited Partnerdirect · owns 5% to 10%
- L•••••• O••••••• I• H••••••• C••• · Limited Partnerdirect · owns 5% to 10%
- L•••••• U• I• H••••••• L•• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- L••••••• C•••••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT3 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $3.2B to $3.4BFeb 10, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · $3.2B to $3.4BFeb 10, 2025 to Mar 10, 2026
- RAUM · $3.2B to $3.4BFeb 10, 2025 to Mar 10, 2026
- Financial planning clients · unset to Feb 28, 2024 to Feb 10, 2025
- Discretionary RAUM · $3.1B to $3.2BFeb 28, 2024 to Feb 10, 2025
- Pooled vehicle RAUM · $3.1B to $3.2BFeb 28, 2024 to Feb 10, 2025
- RAUM · $3.1B to $3.2BFeb 28, 2024 to Feb 10, 2025
- Advisory employees · 8 to 7Mar 7, 2023 to Feb 28, 2024
- Employees · 14 to 13Mar 7, 2023 to Feb 28, 2024
- Discretionary RAUM · $2.9B to $3.1BMar 7, 2023 to Feb 28, 2024
- Pooled vehicle RAUM · $2.9B to $3.1BMar 7, 2023 to Feb 28, 2024
- RAUM · $2.9B to $3.1BMar 7, 2023 to Feb 28, 2024
- Advisory employees · 9 to 8Mar 15, 2022 to Mar 7, 2023
- Employees · 15 to 14Mar 15, 2022 to Mar 7, 2023
- Discretionary RAUM · $3.7B to $2.9BMar 15, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $3.7B to $2.9BMar 15, 2022 to Mar 7, 2023
- RAUM · $3.7B to $2.9BMar 15, 2022 to Mar 7, 2023
- Other offices · 0 to 1Feb 11, 2021 to Mar 15, 2022
- Discretionary RAUM · $3.6B to $3.7BFeb 11, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $3.6B to $3.7BFeb 11, 2021 to Mar 15, 2022
- RAUM · $3.6B to $3.7BFeb 11, 2021 to Mar 15, 2022
- Employees · 16 to 15Feb 5, 2020 to Feb 11, 2021
- Discretionary RAUM · $6.8B to $3.6BFeb 5, 2020 to Feb 11, 2021
- Pooled vehicle RAUM · $6.8B to $3.6BFeb 5, 2020 to Feb 11, 2021
- RAUM · $6.8B to $3.6BFeb 5, 2020 to Feb 11, 2021
- Advisory employees · 10 to 9Feb 4, 2019 to Feb 5, 2020
- Employees · 17 to 16Feb 4, 2019 to Feb 5, 2020
- Discretionary RAUM · $6.3B to $6.8BFeb 4, 2019 to Feb 5, 2020
- Pooled vehicle RAUM · $6.3B to $6.8BFeb 4, 2019 to Feb 5, 2020
- RAUM · $6.3B to $6.8BFeb 4, 2019 to Feb 5, 2020
- Advisory employees · 9 to 10Feb 13, 2018 to Feb 4, 2019
- Employees · 16 to 17Feb 13, 2018 to Feb 4, 2019
- Discretionary RAUM · $6.2B to $6.3BFeb 13, 2018 to Feb 4, 2019
- Pooled vehicle RAUM · $6.2B to $6.3BFeb 13, 2018 to Feb 4, 2019
- RAUM · $6.2B to $6.3BFeb 13, 2018 to Feb 4, 2019
- Advisory employees · 8 to 9Aug 17, 2017 to Feb 13, 2018
- Charity clients · unset to 0.0Aug 17, 2017 to Feb 13, 2018
- Corporate clients · unset to 0.0Aug 17, 2017 to Feb 13, 2018
- HNW clients · unset to 0.0Aug 17, 2017 to Feb 13, 2018
- Individual clients · unset to 0.0Aug 17, 2017 to Feb 13, 2018
Signals
2 dated events
- Robert Christopher Deneen (Chief Financial Officer) appeared on Schedule A of L••••••• C•••••• M••••••••• L•Mar 7, 2023 · Control person joined · fact
- L••••••• C•••••• M••••••••• L• reported RAUM $3.6B, down 46% from $6.8B (2020-02-05 to 2021-02-11)Feb 11, 2021 · RAUM change · derived
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-584-2210reportedpublic record, Form ADV, Mar 10, 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