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••••••••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Feb 11, 2012 · 20 filings
SEC status approved since Mar 28, 2012
RAUM
$494M
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
23
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$494M as of Mar 27, 2026
Apr 1, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20130 then
Employees (5.A)23 as of Mar 27, 2026
Apr 1, 201331 then
Private funds9 as of Mar 27, 2026
Apr 1, 20135 then
RAUM -4.2% over the last fiscal year-7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $54.9MderivedRAUM 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
- -4.2%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
- $494M, 9 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$494M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $494M for 9 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••••• E••••• F••• I•••• L••• | Private Equity Fund | $295M | 80 | Feb 11, 2012 |
| L••••••••• E••••• F••• V••• L••• | Private Equity Fund | $173M | 39 | Mar 28, 2020 |
| L••••••••• E••••• F••• I••• L••• | Private Equity Fund | $91.0M | 64 | Feb 11, 2012 |
| L••••••••• E••••• F••• V•••• L••• | Private Equity Fund | $25.2M | 22 | Mar 28, 2020 |
| L••••••••• E••••• F••• V••• L••• | Private Equity Fund | $13.5M | 3 | Mar 28, 2020 |
| L••••••••• E••••• F••• I•• L••• | Private Equity Fund | $1.7M | 11 | Feb 11, 2012 |
| L••••••••• E••••• F••• I•• L••• | Private Equity Fund | $1.1M | 82 | Feb 11, 2012 |
| L••••••••• E••••• F•••• L•••no longer reported | Private Equity Fund | $298,953 | 57 | Feb 11, 2012 |
| L••••••••• E••••• F••• V••••• L••• | Private Equity Fund | $0 | 0 | Jun 14, 2024 |
| L••••••••• E••••• F••• V•••• L••• | Private Equity Fund | $0 | 0 | Jun 14, 2024 |
| L••••••••• E••••• F••• V•••• L••• | Private Equity Fund | $0 | 0 | Jun 14, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• T•••••• J••••• · Chairman & Ceocontrolsince 07/1994 · owns 75% or more
- K••• P••••• · Co-Managing Partnersince 09/2022 · owns less than 5%
- L••••• M••••••• J••••• · Presidentsince 09/1998 · owns less than 5%
- N••••• K••••• A••••• · Chief Compliance Officersince 02/2012 · owns less than 5%
- N•••••• T•••••• J•••• · Co-Managing Partnersince 09/2022 · owns less than 5%
- P•••••• V••••• · Vice-Presidentsince 09/1999 · owns less than 5%
Related persons
Schedule D 7.A
- L••••••••• E••••• P••••••• I•• L•••pooled vehicle sponsorn
- L••••••••• E••••• P••••••• I••• L•••pooled vehicle sponsorn
- L••••••••• E••••• P••••••• I•• L•••pooled vehicle sponsorn
- L••••••••• E••••• P••••••• V• L•••pooled vehicle sponsorn
- L••••••••• E••••• P••••••• V•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 9Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 24 to 22Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 10 to 9Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $516M to $494MMar 28, 2025 to Mar 27, 2026
- Employees · 25 to 23Mar 28, 2025 to Mar 27, 2026
- Private funds · 10 to 9Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $516M to $494MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $516M to $494MMar 28, 2025 to Mar 27, 2026
- RAUM · $516M to $494MMar 28, 2025 to Mar 27, 2026
- RAUM · $600M to $516MJun 14, 2024 to Mar 28, 2025
- Accounts · 7 to 10Jun 14, 2024 to Mar 28, 2025
- Advisory employees · 26 to 24Jun 14, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 10Jun 14, 2024 to Mar 28, 2025
- Assets in custody · $600M to $516MJun 14, 2024 to Mar 28, 2025
- Employees · 27 to 25Jun 14, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $600M to $516MJun 14, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $600M to $516MJun 14, 2024 to Mar 28, 2025
- Private funds · 7 to 10Mar 28, 2024 to Jun 14, 2024
- Assets in custody · $615M to $600MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $615M to $600MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $615M to $600MMar 31, 2023 to Mar 28, 2024
- RAUM · $615M to $600MMar 31, 2023 to Mar 28, 2024
- Advisory employees · 24 to 26Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $704M to $615MMar 31, 2022 to Mar 31, 2023
- Employees · 25 to 27Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $704M to $615MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $704M to $615MMar 31, 2022 to Mar 31, 2023
- RAUM · $704M to $615MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $568M to $704MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $568M to $704MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $568M to $704MMar 30, 2021 to Mar 31, 2022
- RAUM · $568M to $704MMar 30, 2021 to Mar 31, 2022
- Advisory employees · 25 to 24Mar 28, 2020 to Mar 30, 2021
- Assets in custody · $687M to $568MMar 28, 2020 to Mar 30, 2021
- Employees · 26 to 25Mar 28, 2020 to Mar 30, 2021
- Discretionary RAUM · $687M to $568MMar 28, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $687M to $568MMar 28, 2020 to Mar 30, 2021
- RAUM · $687M to $568MMar 28, 2020 to Mar 30, 2021
- Accounts · 4 to 7Aug 13, 2019 to Mar 28, 2020
Signals
1 dated events
- L••••••••• M••••••••• I••• reported RAUM $655.0M, down 31% from $945.6M (2018-05-02 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- L••••••••• M••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- L••••••••• M••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••://WWW.LINKEDIN.COM/COMPANY/L•••••••••-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-319-3633reportedpublic record, Form ADV, Mar 27, 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