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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
L•••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 17 filings
SEC status approved since Mar 11, 2012
RAUM
$570M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$570M as of Mar 31, 2026
Mar 27, 2013$355M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)6 as of Mar 31, 2026
Mar 27, 20138 then
Private funds4 as of Mar 31, 2026
Mar 27, 20135 then
RAUM +9.6% over the last fiscal year+9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $142MderivedRAUM 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
- +9.6%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $570M, 4 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$570M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $570M for 4 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••••• G••••• S•••••• S••••••••• F•••• L••• | Hedge Fund | $404M | 39 | Feb 14, 2012 |
| L•••••••• F•••• L• | Hedge Fund | $119M | 23 | Feb 14, 2012 |
| L•••••••• I•••••••• F•••• L• | Hedge Fund | $95.0M | 5 | Feb 14, 2012 |
| L•••••••• I•• I•• A• S••••••••• A•••••• O• L•••••••• I•• L•••no longer reported | Hedge Fund | $78.3M | 0 | Feb 14, 2012 |
| L•••••••• I•• L••• | Hedge Fund | $50.0M | 9 | Mar 29, 2019 |
| L•••••••• F•••• L••• | Hedge Fund | $41.1M | 12 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••••• V•••••• · Chief Compliance Officer & Compliance, Operations & Financecontrolsince 03/2012 · owns less than 5%
- L••••••••• L•••• •••• · Managing Member - L•••••••• Gp, LLC (Relying Adviser)controlsince 08/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $520M to $570MMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $520M to $570MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $520M to $570MMar 28, 2025 to Mar 31, 2026
- RAUM · $520M to $570MMar 28, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $485M to $520MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $485M to $520MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $485M to $520MMar 29, 2024 to Mar 28, 2025
- RAUM · $485M to $520MMar 29, 2024 to Mar 28, 2025
- Accounts · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $439M to $485MMar 31, 2023 to Mar 29, 2024
- Private funds · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $439M to $485MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $439M to $485MMar 31, 2023 to Mar 29, 2024
- RAUM · $439M to $485MMar 31, 2023 to Mar 29, 2024
- Assets in custody · $570M to $439MSep 22, 2022 to Mar 31, 2023
- Discretionary RAUM · $570M to $439MSep 22, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $570M to $439MSep 22, 2022 to Mar 31, 2023
- RAUM · $570M to $439MSep 22, 2022 to Mar 31, 2023
- Advisory employees · 3 to 5Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $508M to $570MMar 31, 2021 to Mar 30, 2022
- Employees · 5 to 6Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $508M to $570MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $508M to $570MMar 31, 2021 to Mar 30, 2022
- RAUM · $508M to $570MMar 31, 2021 to Mar 30, 2022
- Advisory employees · 5 to 3Nov 30, 2020 to Mar 31, 2021
- Assets in custody · $403M to $508MNov 30, 2020 to Mar 31, 2021
- Employees · 8 to 5Nov 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $403M to $508MNov 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $403M to $508MNov 30, 2020 to Mar 31, 2021
- RAUM · $403M to $508MNov 30, 2020 to Mar 31, 2021
- Advisory employees · 7 to 5Mar 29, 2019 to Mar 26, 2020
- Assets in custody · $365M to $403MMar 29, 2019 to Mar 26, 2020
- Employees · 10 to 8Mar 29, 2019 to Mar 26, 2020
- Discretionary RAUM · $365M to $403MMar 29, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $365M to $403MMar 29, 2019 to Mar 26, 2020
- RAUM · $365M to $403MMar 29, 2019 to Mar 26, 2020
- Advisory employees · 4 to 7Mar 28, 2018 to Mar 29, 2019
Signals
3 dated events
- L•••••••• C•••••• M••••••••• L•• reported RAUM $507.9M, up 26% from $402.5M (2020-11-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Rosa Nancy Qualtieri (Co-Head Of Compliance, Operations & Finance) no longer on Schedule A of L•••••••• C•••••• M••••••••• L•• (listed 2020-03-26, absent 2020-11-30)Nov 30, 2020 · Control person left · inference
- Rosa Nancy Qualtieri (Co-Head Of Compliance, Operations & Finance) appeared on Schedule A of L•••••••• C•••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
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
- Principal office phone
- 1-212-207-8001reportedpublic record, Form ADV, Mar 31, 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