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.

Former SEC-registered adviser

L•••••• M••••• I•••••••••

Former SEC-registered adviserBoston, MassachusettsCRD 157812SEC 801-72398IAPD
Legal name L•••••• M••••• G•••• A•••• M••••••••• I•••
Latest filing Sep 17, 2014
First filing on the tape Dec 5, 2011 · 6 filings
RAUM
$83B
reported, Item 5.F
Discretionary
94%
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
200
70 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$83B as of Mar 25, 2014
Mar 30, 2012$72B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 30, 20120 then
Employees (5.A)200 as of Mar 25, 2014
Mar 25, 2013205 then
Private funds: no history
RAUM +2.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 17, 2014; 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
$830MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%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
+2.4%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$76B, 79 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
100reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$76B for 79 clientsreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• N•••• · Executive Vice Presidentcontrol
        since 09/2013 · owns less than 5%
      • F••••••••• S••••• D•••••• · Chief Compliance Officercontrol
        since 04/2011 · owns less than 5%
      • F•••••••• A••••••• A•••••••• · Director, Chief Executive Officer & Presidentcontrol
        since 04/2011 · owns less than 5%
      • H•••••• D••••• G••••• · Treasurer, Asst. Secretary & Chief Operations Officercontrol
        since 04/2011 · owns less than 5%
      • K•••••••• J••••• F•••••• · Directorcontrol
        since 01/2013 · owns less than 5%
      • L•••••••• D•••••• J•••• · Directorcontrol
        since 04/2011 · owns less than 5%
      • L•••• D•••••• R••••• · Director & Secretarycontrol
        since 01/2012 · owns less than 5%
      • L•••• D••••• H•••• · Director & Chairman Of The Boardcontrol
        since 04/2011 · owns less than 5%
      • R••••••• M••••••• P•••••• · Chief Financial Officercontrol
        since 10/2011 · owns less than 5%
      Entity owners
      • L•••••• M••••• G•••• I••• · Sole Shareholder
        direct · owns 75% or more
      • L•••••• M••••• H•••••• C•••••• I••• · Owner
        indirect · owns 75% or more of L••• M••••••••• Holding Inc.
      • L••• M••••••••• H••••••• I••• · Owner
        indirect · owns 75% or more of L•••••• M••••• G•••• I•••
      Related persons
      Schedule D 7.A
      • L•••••• M••••• G•••• I•••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · L•••••• M••••• G•••• A•••• M••••••••• I••• to L•••••• M••••• I•••••••••
        Jul 25, 2014 to Sep 17, 2014
      • Assets in custody · $78B to $76B
        Mar 25, 2014 to Jul 25, 2014
      • Discretionary RAUM · $76B to $78B
        Mar 25, 2014 to Jul 25, 2014
      • Non-discretionary RAUM · $6.9B to $4.6B
        Mar 25, 2014 to Jul 25, 2014
      • Advisory employees · 71 to 70
        Mar 25, 2013 to Mar 25, 2014
      • Assets in custody · $74B to $78B
        Mar 25, 2013 to Mar 25, 2014
      • Employees · 205 to 200
        Mar 25, 2013 to Mar 25, 2014
      • Discretionary RAUM · $75B to $76B
        Mar 25, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $5.8B to $6.9B
        Mar 25, 2013 to Mar 25, 2014
      • RAUM · $81B to $83B
        Mar 25, 2013 to Mar 25, 2014
      • Accounts · 102 to 100
        Mar 30, 2012 to Mar 25, 2013
      • Advisory employees · unset to 71.0
        Mar 30, 2012 to Mar 25, 2013
      • Advisory activities · 4 to 2
        Mar 30, 2012 to Mar 25, 2013
      • Assets in custody · $68B to $74B
        Mar 30, 2012 to Mar 25, 2013
      • Employees · unset to 205.0
        Mar 30, 2012 to Mar 25, 2013
      • Financial planning clients · 0 to unset
        Mar 30, 2012 to Mar 25, 2013
      • Discretionary RAUM · $71B to $75B
        Mar 30, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $1.4B to $5.8B
        Mar 30, 2012 to Mar 25, 2013
      • RAUM · $72B to $81B
        Mar 30, 2012 to Mar 25, 2013
      • Accounts · 61 to 102
        Dec 5, 2011 to Mar 30, 2012
      • Advisory activities · 2 to 4
        Dec 5, 2011 to Mar 30, 2012
      • Assets in custody · $70B to $68B
        Dec 5, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 5, 2011 to Mar 30, 2012
      • Financial planning clients · unset to 0
        Dec 5, 2011 to Mar 30, 2012
      • Discretionary RAUM · $70B to $71B
        Dec 5, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $0 to $1.4B
        Dec 5, 2011 to Mar 30, 2012
      • RAUM · $70B to $72B
        Dec 5, 2011 to Mar 30, 2012
      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