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•••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2021
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$233M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$233M gross assets
History
11 filings and snapshots on the tape
RAUM$233M as of Mar 30, 2021
Mar 22, 2013$811M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 22, 20130 then
Employees (5.A)5 as of Mar 30, 2021
Mar 22, 201316 then
Private funds2 as of Mar 30, 2021
Mar 22, 20137 then
RAUM +15% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
- $116MderivedRAUM 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
- +15%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
- $203M, 2 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
- 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$233M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $203M for 2 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••••• C•••••• P••••••• F••• V• L••• | Private Equity Fund | $231M | 212 | Feb 14, 2012 |
| L•••••••• C•••••• P••••••• F••• V• L••• | Private Equity Fund | $25.9M | 63 | Feb 14, 2012 |
| L•••••••• C•••••• P••••••• F••• I•• L•no longer reported | Private Equity Fund | $20.7M | 62 | Feb 14, 2012 |
| L•••••••• C•••••• P••••••• F••• I•• L•••no longer reported | Private Equity Fund | $3.0M | 89 | Feb 14, 2012 |
| L•••••••• C•••••• P••••••• F••• V• N••• L• | Private Equity Fund | $1.9M | 29 | Feb 14, 2012 |
| L•••••••• C•••••• P••••••• F••• V• N•• L••• | Private Equity Fund | $991,000 | 75 | Feb 14, 2012 |
| L•••••••• C•••••• P••••••• F••• I• N•• L•••no longer reported | Private Equity Fund | $550,000 | 33 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••• V• · Co-President & Sr. Managing Directorcontrolsince 01/2005 · owns less than 5%
- L••••••••• F••••• N• · Chairman And Foundercontrolsince 01/2005 · owns less than 5%
- P••••• S••••••• B• · Co-President & Sr. Managing Directorcontrolsince 01/2005 · owns less than 5%
- B••••• E•••• V• · Shareholdercontrolsince 05/2005 · owns 25% to 50% of L••••• M••••••••• C••••••
- L••••••••• F••••• N• · Shareholdercontrolsince 05/2005 · owns 25% to 50% of L••••• M••••••••• C••••••
- P••••• S••••••• B• · Shareholdercontrolsince 05/2005 · owns 25% to 50% of L••••• M••••••••• C••••••
- Z•••••• K•••••• P• · Chief Compliance Officersince 01/2011 · owns less than 5%
Entity owners
- L••••• M••••••••• C•••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••••• M••••••••• C••••••pooled vehicle sponsory
- L••••• V• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 2Mar 23, 2020 to Mar 30, 2021
- Pooled vehicle clients · 4 to 2Mar 23, 2020 to Mar 30, 2021
- Assets in custody · $153M to $203MMar 23, 2020 to Mar 30, 2021
- Private funds · 4 to 2Mar 23, 2020 to Mar 30, 2021
- Discretionary RAUM · $202M to $233MMar 23, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $202M to $233MMar 23, 2020 to Mar 30, 2021
- RAUM · $202M to $233MMar 23, 2020 to Mar 30, 2021
- Advisory employees · 7 to 3Mar 27, 2019 to Mar 23, 2020
- Assets in custody · $461M to $153MMar 27, 2019 to Mar 23, 2020
- Employees · 9 to 5Mar 27, 2019 to Mar 23, 2020
- Discretionary RAUM · $554M to $202MMar 27, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $554M to $202MMar 27, 2019 to Mar 23, 2020
- RAUM · $554M to $202MMar 27, 2019 to Mar 23, 2020
- Advisory employees · 8 to 7Mar 23, 2018 to Mar 27, 2019
- Assets in custody · $423M to $461MMar 23, 2018 to Mar 27, 2019
- Employees · 10 to 9Mar 23, 2018 to Mar 27, 2019
- Discretionary RAUM · $572M to $554MMar 23, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $572M to $554MMar 23, 2018 to Mar 27, 2019
- RAUM · $572M to $554MMar 23, 2018 to Mar 27, 2019
- Accounts · 6 to 4Mar 30, 2017 to Mar 23, 2018
- Advisory employees · 13 to 8Mar 30, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 4.0Mar 30, 2017 to Mar 23, 2018
- Assets in custody · $359M to $423MMar 30, 2017 to Mar 23, 2018
- Employees · 15 to 10Mar 30, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 23, 2018
- Private funds · 6 to 4Mar 30, 2017 to Mar 23, 2018
- Discretionary RAUM · $528M to $572MMar 30, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 572096639.0Mar 30, 2017 to Mar 23, 2018
- RAUM · $528M to $572MMar 30, 2017 to Mar 23, 2018
- Accounts · 7 to 6Mar 30, 2016 to Mar 30, 2017
- Advisory employees · 16 to 13Mar 30, 2016 to Mar 30, 2017
- Assets in custody · $243M to $359MMar 30, 2016 to Mar 30, 2017
- Employees · 18 to 15Mar 30, 2016 to Mar 30, 2017
- Private funds · 7 to 6Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $518M to $528MMar 30, 2016 to Mar 30, 2017
- RAUM · $518M to $528MMar 30, 2016 to Mar 30, 2017
- Advisory employees · 14 to 16Mar 26, 2015 to Mar 30, 2016
- Assets in custody · unset to 243408171.0Mar 26, 2015 to Mar 30, 2016
- Custody of client assets · false to trueMar 26, 2015 to Mar 30, 2016
- Employees · 16 to 18Mar 26, 2015 to Mar 30, 2016
Signals
1 dated events
- L•••••••• C•••••• M••••••••• L•• reported RAUM $202.1M, down 63% from $553.6M (2019-03-27 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- L•••••••• C•••••• M••••••••• L•• · 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