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••••••
Legal name L•••••• I••••••••• I•••
Latest filing Dec 19, 2024
First filing on the tape Feb 14, 2012 · 22 filings
SEC status approved since Mar 30, 2012
RAUM
$224M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$224M gross assets
History
22 filings and snapshots on the tape
RAUM$224M as of Jun 28, 2024
Jun 19, 2012$608M then
HNW client RAUM$0 as of Jun 28, 2024
Jun 25, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 28, 2024
Jun 28, 20130 then
Employees (5.A)9 as of Jun 28, 2024
Jun 28, 20135 then
Private funds2 as of Jun 28, 2024
Jun 19, 20124 then
RAUM -26% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 19, 2024; 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
- $112MderivedRAUM 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
- -26%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
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$224M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• A••• I•• L••• | Private Equity Fund | $162M | 24 | Dec 14, 2012 |
| L•••••• A••• I•• L••• | Private Equity Fund | $62.0M | 23 | Feb 14, 2012 |
| T••••••• E••••• F•••no longer reported | Private Equity Fund | $59.7M | 15 | Feb 14, 2012 |
| L•••• A••• L•••no longer reported | Private Equity Fund | $23.9M | 15 | Feb 14, 2012 |
| L••••••••• P•••••••• L•••no longer reported | Private Equity Fund | $1.3M | 2 | Feb 14, 2012 |
| L•••••• T••••••• I••••••••• F•••• L••no longer reported | Private Equity Fund | $183,718 | 6 | Jun 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• T••••••• P•••••• · General Counsel And Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- S••••• J••• T•••••• J••••••• · Presidentcontrolsince 06/2008 · owns 25% to 50%
- S•••••••• P••••• H•••• · Member, Board Of Directorscontrolsince 03/2001 · owns 25% to 50%
- S••••• S••••• P••••• · Chief Financial Officercontrolsince 03/1994 · owns 25% to 50%
Related persons
Schedule D 7.A
- L•••••• A••• A••••••• L••pooled vehicle sponsorn
- L•••••• A••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $305M to $224MJun 28, 2023 to Jun 28, 2024
- Pooled vehicle RAUM · $305M to $224MJun 28, 2023 to Jun 28, 2024
- RAUM · $305M to $224MJun 28, 2023 to Jun 28, 2024
- Discretionary RAUM · $358M to $305MJun 28, 2022 to Jun 28, 2023
- Pooled vehicle RAUM · $358M to $305MJun 28, 2022 to Jun 28, 2023
- RAUM · $358M to $305MJun 28, 2022 to Jun 28, 2023
- Discretionary RAUM · $412M to $358MMay 28, 2021 to Jun 28, 2022
- Pooled vehicle RAUM · $412M to $358MMay 28, 2021 to Jun 28, 2022
- RAUM · $412M to $358MMay 28, 2021 to Jun 28, 2022
- Advisory employees · 20 to 6Jan 7, 2021 to May 28, 2021
- Employees · 24 to 9Jan 7, 2021 to May 28, 2021
- Discretionary RAUM · $386M to $412MJan 7, 2021 to May 28, 2021
- Pooled vehicle RAUM · $386M to $412MJan 7, 2021 to May 28, 2021
- RAUM · $386M to $412MJan 7, 2021 to May 28, 2021
- HQ city · SAN FRANCISCO to DALY CITYJun 29, 2020 to Jan 7, 2021
- Discretionary RAUM · $337M to $386MJun 29, 2020 to Jan 7, 2021
- Pooled vehicle RAUM · $337M to $386MJun 29, 2020 to Jan 7, 2021
- RAUM · $337M to $386MJun 29, 2020 to Jan 7, 2021
- Discretionary RAUM · $364M to $337MJun 29, 2019 to Jun 29, 2020
- Pooled vehicle RAUM · $364M to $337MJun 29, 2019 to Jun 29, 2020
- RAUM · $364M to $337MJun 29, 2019 to Jun 29, 2020
- Advisory employees · 18 to 20Jan 4, 2019 to Jun 29, 2019
- Employees · 22 to 24Jan 4, 2019 to Jun 29, 2019
- Discretionary RAUM · $374M to $364MJan 4, 2019 to Jun 29, 2019
- Pooled vehicle RAUM · $374M to $364MJan 4, 2019 to Jun 29, 2019
- RAUM · $374M to $364MJan 4, 2019 to Jun 29, 2019
- Advisory employees · 19 to 18Jun 29, 2017 to Jun 25, 2018
- Charity clients · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Corporate clients · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- HNW clients · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Individual clients · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Pension plan clients · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Pooled vehicle clients · unset to 2.0Jun 29, 2017 to Jun 25, 2018
- Employees · 23 to 22Jun 29, 2017 to Jun 25, 2018
- Other offices · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Discretionary RAUM · $462M to $374MJun 29, 2017 to Jun 25, 2018
- HNW RAUM · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Individual RAUM · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Pension RAUM · unset to 0.0Jun 29, 2017 to Jun 25, 2018
- Pooled vehicle RAUM · unset to 373960060.0Jun 29, 2017 to Jun 25, 2018
Signals
2 dated events
- Lombard no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $224.0M)Jun 2, 2025 · Left the SEC roster · derived
- Punyagupta Pote Videt (Member, Board Of Directors) no longer on Schedule A of Lombard (listed 2021-01-07, absent 2021-05-28)May 28, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Lombard · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- L••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 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
- 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