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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Former SEC-registered adviser
L•••••• P•••••••
Legal name L•••••• P•••••••• L•••••
Latest filing Mar 28, 2022
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$91.6M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$91.6M gross assets
History
14 filings and snapshots on the tape
RAUM$91.6M as of Mar 28, 2022
Mar 21, 2013$268M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 21, 20130 then
Employees (5.A)4 as of Mar 28, 2022
Mar 21, 20139 then
Private funds1 as of Mar 28, 2022
Mar 21, 20131 then
RAUM -0.6% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
- $91.6MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.6%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $27.0M, 1 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$91.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.0M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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•••••• P••••••• I•• L••• | Private Equity Fund | $91.6M | 23 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• P••••• E••••• · Member Of L•••••• P•••••••• L•••••controlsince 09/2001 · owns 10% to 25%
- L•••••• M••••••• S• · Member And Chief Compliance Officer Of L•••••• P•••••••• L•••••controlsince 09/2001 · owns 5% to 10%
- S••••••• G•• M•••••• · Member Of L•••••• P••••••• G•• L••controlsince 05/2008 · owns 10% to 25%
- F•••• M••••••• J• · Terminated Member Of L•••••• P•••••••• L•••••since 12/2015 · owns 5% to 10%
- M••••• Y•••••• V••• · Terminated Member Of L•••••• P•••••••• L•••••since 11/2012 · owns 10% to 25%
Entity owners
- E••••• O• T••••• G• G•••• I•• · Terminated Member Of L•••••• P•••••••• L•••••direct · owns 10% to 25%
- P•• A••••••••• I••• · Manager Of L•••••• P••••••• G•• L••direct · owns less than 5%
- P•• A••••••••• I••• D•••• L•••••• C•••••• P•••••••• I••• •••••• · Manager Of L•••••• P•••••••• L•••••direct · owns less than 5%
Related persons
Schedule D 7.A
- L•••••• P••••••• G•• L••pooled vehicle sponsorn
- L•••••• P•••••••investment advisernRAUM $3.0M
Advisers that list L•••••• P••••••• as a related person
- 156788 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $27.0M to $27.0MMar 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $92.2M to $91.6MMar 25, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $92.2M to $91.6MMar 25, 2021 to Mar 28, 2022
- RAUM · $92.2M to $91.6MMar 25, 2021 to Mar 28, 2022
- Assets in custody · $22.1M to $27.0MMar 30, 2020 to Mar 25, 2021
- HQ city · NEW YORK to WHITE PLAINSMar 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $87.7M to $92.2MMar 30, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $87.7M to $92.2MMar 30, 2020 to Mar 25, 2021
- RAUM · $87.7M to $92.2MMar 30, 2020 to Mar 25, 2021
- Assets in custody · $22.1M to $22.1MMar 22, 2019 to Mar 30, 2020
- Discretionary RAUM · $88.3M to $87.7MMar 22, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $88.3M to $87.7MMar 22, 2019 to Mar 30, 2020
- RAUM · $88.3M to $87.7MMar 22, 2019 to Mar 30, 2020
- Assets in custody · $28.4M to $22.1MMar 26, 2018 to Mar 22, 2019
- Discretionary RAUM · $95.3M to $88.3MMar 26, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $95.3M to $88.3MMar 26, 2018 to Mar 22, 2019
- RAUM · $95.3M to $88.3MMar 26, 2018 to Mar 22, 2019
- Advisory employees · 4 to 3Mar 23, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 1.0Mar 23, 2017 to Mar 26, 2018
- Assets in custody · $28.4M to $28.4MMar 23, 2017 to Mar 26, 2018
- Employees · 5 to 4Mar 23, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Mar 26, 2018
- Discretionary RAUM · $100M to $95.3MMar 23, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 95304065.0Mar 23, 2017 to Mar 26, 2018
- RAUM · $100M to $95.3MMar 23, 2017 to Mar 26, 2018
- Advisory employees · 5 to 4Mar 16, 2016 to Mar 23, 2017
- Assets in custody · $25.9M to $28.4MMar 16, 2016 to Mar 23, 2017
- Employees · 6 to 5Mar 16, 2016 to Mar 23, 2017
- Discretionary RAUM · $93.6M to $100MMar 16, 2016 to Mar 23, 2017
- RAUM · $93.6M to $100MMar 16, 2016 to Mar 23, 2017
- Advisory employees · 7 to 5Mar 16, 2015 to Mar 16, 2016
- Assets in custody · $69.2M to $25.9MMar 16, 2015 to Mar 16, 2016
- Employees · 8 to 6Mar 16, 2015 to Mar 16, 2016
- Discretionary RAUM · $138M to $93.6MMar 16, 2015 to Mar 16, 2016
- RAUM · $138M to $93.6MMar 16, 2015 to Mar 16, 2016
- Assets in custody · $108M to $69.2MMar 28, 2014 to Mar 16, 2015
- Discretionary RAUM · $178M to $138MMar 28, 2014 to Mar 16, 2015
- RAUM · $178M to $138MMar 28, 2014 to Mar 16, 2015
- Advisory employees · 8 to 7Dec 9, 2013 to Mar 28, 2014
- Assets in custody · $197M to $108MDec 9, 2013 to Mar 28, 2014
Signals
1 dated events
- George Thomas Greig (Terminated Member Of L•••••• P•••••••• L•••••) no longer on Schedule A of L•••••• P••••••• (listed 2020-03-30, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- L•••••• P••••••• · Private Equityshared crd · organization
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
- Former SEC-registered adviserderiveda 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