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 30, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 30, 2012
RAUM
$881M
reported, Item 5.F
Discretionary
5.8%
of RAUM
Private clients
100%
$881M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$881M as of Mar 30, 2026
Mar 26, 2013$335M then
HNW client RAUM$881M as of Mar 30, 2026
Mar 26, 2021$291M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20130 then
Employees (5.A)6 as of Mar 30, 2026
Mar 26, 201313 then
Private funds1 as of Mar 26, 2021
Mar 26, 20132 then
RAUM +37% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $440MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.8%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
- +37%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- selection of other advisers, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$881M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• P••••••• M••••• F••• L•no longer reported | Hedge Fund | $49.5M | 26 | Feb 14, 2012 |
| L••••••• L••••• S••••••••• M••••• F••• L•no longer reported | Hedge Fund | $15.6M | 14 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• · Coo And Head Of Researchcontrolsince 01/2016 · owns less than 5%
- F••••••••• T••••• · Chief Compliance Officercontrolsince 12/2012 · owns less than 5%
- P•••••••• P••••• N•••• · Chief Investment Officercontrolsince 01/2007 · owns less than 5%
- P•••••••• P••••• N•••• · Managing Membercontrolsince 01/2007 · owns 75% or more of L••••••• H••••••• L••
Entity owners
- L•• C•••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- L••••••• H••••••• L•• · Managing Memberindirect · owns 50% to 75% of L•• C•••••• H•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list L••••••• C•••••• M••••••••• L•• as a related person
- 111409 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $29.9M to $51.5MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $642M to $881MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $612M to $829MMar 26, 2025 to Mar 30, 2026
- RAUM · $642M to $881MMar 26, 2025 to Mar 30, 2026
- Accounts · 1 to 2Sep 18, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $0 to $29.9MSep 18, 2024 to Mar 26, 2025
- HNW RAUM · $466M to $642MSep 18, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $466M to $612MSep 18, 2024 to Mar 26, 2025
- RAUM · $466M to $642MSep 18, 2024 to Mar 26, 2025
- HNW RAUM · $415M to $466MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $415M to $466MMar 30, 2023 to Mar 26, 2024
- RAUM · $415M to $466MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $399M to $415MAug 25, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $399M to $415MAug 25, 2022 to Mar 30, 2023
- RAUM · $399M to $415MAug 25, 2022 to Mar 30, 2023
- HQ city · NEW YORK to WHITE PLAINSMar 22, 2022 to Jul 12, 2022
- Accounts · 5 to 1Mar 26, 2021 to Mar 22, 2022
- Advisory activities · 3 to 2Mar 26, 2021 to Mar 22, 2022
- Pooled vehicle clients · 4.0 to unsetMar 26, 2021 to Mar 22, 2022
- Assets in custody · 0.0 to unsetMar 26, 2021 to Mar 22, 2022
- Custody of client assets · true to falseMar 26, 2021 to Mar 22, 2022
- Employees · 7 to 6Mar 26, 2021 to Mar 22, 2022
- Private funds · 1 to unsetMar 26, 2021 to Mar 22, 2022
- Discretionary RAUM · $49.5M to $0Mar 26, 2021 to Mar 22, 2022
- HNW RAUM · $291M to $399MMar 26, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $291M to $399MMar 26, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · 49505600.0 to unsetMar 26, 2021 to Mar 22, 2022
- RAUM · $340M to $399MMar 26, 2021 to Mar 22, 2022
- Accounts · 4 to 5Mar 17, 2020 to Mar 26, 2021
- Advisory employees · 6 to 5Mar 17, 2020 to Mar 26, 2021
- Employees · 9 to 7Mar 17, 2020 to Mar 26, 2021
- Discretionary RAUM · $240M to $49.5MMar 17, 2020 to Mar 26, 2021
- HNW RAUM · unset to 290923636.0Mar 17, 2020 to Mar 26, 2021
- Non-discretionary RAUM · $0 to $291MMar 17, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $240M to $49.5MMar 17, 2020 to Mar 26, 2021
- RAUM · $240M to $340MMar 17, 2020 to Mar 26, 2021
- Accounts · 5 to 4Jul 2, 2019 to Mar 17, 2020
- Advisory employees · 5 to 6Jul 2, 2019 to Mar 17, 2020
- Employees · 8 to 9Jul 2, 2019 to Mar 17, 2020
Signals
4 dated events
- L••••••• C•••••• M••••••••• L•• reported RAUM $880.5M, up 37% from $642.3M (2025-03-26 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- L••••••• C•••••• M••••••••• L•• reported RAUM $642.3M, up 38% from $466.3M (2024-09-18 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Cameron Bruce Catania (Officer) no longer on Schedule A of L••••••• C•••••• M••••••••• L•• (listed 2023-03-30, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- L••••••• C•••••• M••••••••• L•• reported RAUM $340.4M, up 42% from $240.2M (2020-03-17 to 2021-03-26)Mar 26, 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
- Business email
- o•••••••••@l•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-218-3950reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- L•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-218-3950reportedpublic record, Form ADV, Mar 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026