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•••••• P••••••• L••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 157633SEC 801-73072IAPD
Latest filing Mar 9, 2021
First filing on the tape Jan 19, 2012 · 13 filings
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$52.1M 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
2
$75.8M gross assets
History
13 filings and snapshots on the tape
RAUM$128M as of Mar 9, 2021
Mar 14, 2013$104M then
HNW client RAUM$52.1M as of Mar 9, 2021
Feb 1, 2018$61.1M then
State-registered IARs (5.B.3)3 as of Mar 9, 2021
Mar 14, 20133 then
Employees (5.A)4 as of Mar 9, 2021
Mar 14, 20134 then
Private funds2 as of Mar 9, 2021
Mar 14, 20133 then
RAUM -4.9% over the last fiscal year+1.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 2021; every figure names its basis
RAUM per advisor
$42.6MderivedRAUM 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
$42.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$75.8M, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$75.8M59%
  • High-net-worth individuals$52.1M41%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$75.8M 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    L•• I• L•••Hedge Fund$60.6M13Jan 19, 2012
    L•• I•• L•••Hedge Fund$15.2M3Jan 19, 2012
    L•• I••• L•••no longer reportedHedge Fund$2.6M2Jan 19, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • L••••••••• G••••••• E••••• · Trustee Of G•••••• E• L••••••••• J•• R•••••••• T••••control
      since 08/1993 · owns 75% or more
    • H••••••••• D•••••• A• · Class B Member
      since 12/2020 · owns less than 5%
    • S•••••••• C•••• E••••• · Chief Compliance Officer
      since 01/2012 · owns less than 5%
    Entity owners
    • G•••••• E• L••••••••• J•• R•••••••• T•••• · Class A Member/Class B Member
      direct · 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 · $71.6M to $75.8M
      Feb 4, 2021 to Mar 9, 2021
    • Discretionary RAUM · $134M to $128M
      Feb 4, 2021 to Mar 9, 2021
    • HNW RAUM · $62.9M to $52.1M
      Feb 4, 2021 to Mar 9, 2021
    • Pooled vehicle RAUM · $71.6M to $75.8M
      Feb 4, 2021 to Mar 9, 2021
    • RAUM · $134M to $128M
      Feb 4, 2021 to Mar 9, 2021
    • Assets in custody · $59.8M to $71.6M
      Mar 8, 2019 to Mar 26, 2020
    • Discretionary RAUM · $119M to $134M
      Mar 8, 2019 to Mar 26, 2020
    • HNW RAUM · $59.3M to $62.9M
      Mar 8, 2019 to Mar 26, 2020
    • Pooled vehicle RAUM · $59.8M to $71.6M
      Mar 8, 2019 to Mar 26, 2020
    • RAUM · $119M to $134M
      Mar 8, 2019 to Mar 26, 2020
    • Assets in custody · $63.1M to $59.8M
      Feb 1, 2018 to Mar 8, 2019
    • Discretionary RAUM · $124M to $119M
      Feb 1, 2018 to Mar 8, 2019
    • HNW RAUM · $61.1M to $59.3M
      Feb 1, 2018 to Mar 8, 2019
    • Pooled vehicle RAUM · $63.1M to $59.8M
      Feb 1, 2018 to Mar 8, 2019
    • RAUM · $124M to $119M
      Feb 1, 2018 to Mar 8, 2019
    • Pooled vehicle clients · unset to 2.0
      Mar 14, 2017 to Feb 1, 2018
    • Assets in custody · $81.5M to $63.1M
      Mar 14, 2017 to Feb 1, 2018
    • Other offices · unset to 0.0
      Mar 14, 2017 to Feb 1, 2018
    • Discretionary RAUM · $133M to $124M
      Mar 14, 2017 to Feb 1, 2018
    • HNW RAUM · unset to 61081938.0
      Mar 14, 2017 to Feb 1, 2018
    • Pooled vehicle RAUM · unset to 63106550.0
      Mar 14, 2017 to Feb 1, 2018
    • RAUM · $133M to $124M
      Mar 14, 2017 to Feb 1, 2018
    • Assets in custody · $110M to $81.5M
      Mar 24, 2016 to Mar 14, 2017
    • Discretionary RAUM · $168M to $133M
      Mar 24, 2016 to Mar 14, 2017
    • RAUM · $168M to $133M
      Mar 24, 2016 to Mar 14, 2017
    • Accounts · 4 to 3
      Mar 11, 2015 to Mar 24, 2016
    • Assets in custody · $94.0M to $110M
      Mar 11, 2015 to Mar 24, 2016
    • Private funds · 3 to 2
      Mar 11, 2015 to Mar 24, 2016
    • Discretionary RAUM · $153M to $168M
      Mar 11, 2015 to Mar 24, 2016
    • RAUM · $153M to $168M
      Mar 11, 2015 to Mar 24, 2016
    • Assets in custody · $82.3M to $94.0M
      Mar 12, 2014 to Mar 11, 2015
    • Discretionary RAUM · $138M to $153M
      Mar 12, 2014 to Mar 11, 2015
    • RAUM · $138M to $153M
      Mar 12, 2014 to Mar 11, 2015
    • Assets in custody · $51.2M to $82.3M
      Mar 14, 2013 to Mar 12, 2014
    • Discretionary RAUM · $104M to $138M
      Mar 14, 2013 to Mar 12, 2014
    • RAUM · $104M to $138M
      Mar 14, 2013 to Mar 12, 2014
    • Accounts · 5 to 4
      Apr 5, 2012 to Mar 14, 2013
    • Advisory employees · unset to 3.0
      Apr 5, 2012 to Mar 14, 2013
    • BD registered reps · unset to 0.0
      Apr 5, 2012 to Mar 14, 2013
    • Assets in custody · $49.1M to $51.2M
      Apr 5, 2012 to Mar 14, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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