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•••••• P•••••••• L•••
Latest filing May 18, 2018
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$119M
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
24
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$239M gross assets
History
8 filings and snapshots on the tape
RAUM$110M as of Mar 29, 2017
Mar 21, 2013$424M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 21, 20130 then
Employees (5.A)21 as of Mar 29, 2017
Mar 21, 201311 then
Private funds6 as of Mar 29, 2017
Mar 21, 20136 then
RAUM -40% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 18, 2018; 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
- $39.8MderivedRAUM 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
- -45%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
- Custody
- $119M, 3 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$119M100%
- 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
- $119M for 3 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• M••••••••• F•••• L••• | Hedge Fund | $14.7M | 4 | Feb 14, 2012 |
| L•••••• O••••••••• P•••••••• L••• | Hedge Fund | $7.4M | 2 | Feb 14, 2012 |
| L•••••• M••••••••• O••••••• F•••• L••• | Hedge Fund | $6.3M | 1 | Feb 14, 2012 |
| L•••••• O••••••••• P••••••• I• L•• | Hedge Fund | $1.1M | 19 | Feb 14, 2012 |
| L•••••• O••••••••• P••••••• I• L• | Hedge Fund | $555,222 | 26 | Feb 14, 2012 |
| L•••••• C•••••• P••••••• L• | Hedge Fund | $50,256 | 2 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••• E•••••• P••••• · Chief Financial Officercontrolsince 09/2007 · owns less than 5%
- K•••••• J••••••• A••• · Managing Partnercontrolsince 01/2004 · owns 75% or more
- M••••• J••••••• M••• · Chief Operating Officer, Chief Compliance Officercontrolsince 07/2006 · owns less than 5%
- K•••••• J••••••• A••• · Managing Membercontrolsince 02/2004 · owns 75% or more of L•••••• C••• I• L••
Entity owners
- L•••••• C••• I• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- L•••••• A•••• M••••••••• L•investment adviserpooled vehicle sponsornRAUM $7.4B
- L••••••••• M••••••••• L•••investment adviserpooled vehicle sponsorn
Advisers that list L•••••• P•••••••• L••• as a related person
- 148267 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 3Mar 29, 2017 to May 18, 2018
- Advisory activities · 2 to 1Mar 29, 2017 to May 18, 2018
- BD registered reps · 3 to 5Mar 29, 2017 to May 18, 2018
- Pooled vehicle clients · unset to 3.0Mar 29, 2017 to May 18, 2018
- Assets in custody · $199M to $119MMar 29, 2017 to May 18, 2018
- Employees · 21 to 24Mar 29, 2017 to May 18, 2018
- Other offices · unset to 0.0Mar 29, 2017 to May 18, 2018
- Discretionary RAUM · $110M to $119MMar 29, 2017 to May 18, 2018
- Pooled vehicle RAUM · unset to 119293078.0Mar 29, 2017 to May 18, 2018
- RAUM · $110M to $119MMar 29, 2017 to May 18, 2018
- BD registered reps · 0 to 3Nov 28, 2016 to Mar 29, 2017
- Employees · 18 to 21Nov 28, 2016 to Mar 29, 2017
- Discretionary RAUM · $199M to $110MNov 28, 2016 to Mar 29, 2017
- RAUM · $199M to $110MNov 28, 2016 to Mar 29, 2017
- Assets in custody · $353M to $199MMar 31, 2015 to Apr 29, 2016
- Employees · 12 to 18Mar 31, 2015 to Apr 29, 2016
- Discretionary RAUM · $276M to $199MMar 31, 2015 to Apr 29, 2016
- RAUM · $276M to $199MMar 31, 2015 to Apr 29, 2016
- Discretionary RAUM · $353M to $276MMar 27, 2014 to Mar 31, 2015
- RAUM · $353M to $276MMar 27, 2014 to Mar 31, 2015
- Advisory employees · 5 to 4Mar 21, 2013 to Mar 27, 2014
- Assets in custody · $424M to $353MMar 21, 2013 to Mar 27, 2014
- Employees · 11 to 12Mar 21, 2013 to Mar 27, 2014
- Discretionary RAUM · $424M to $353MMar 21, 2013 to Mar 27, 2014
- RAUM · $424M to $353MMar 21, 2013 to Mar 27, 2014
- Related bank · true to falseMar 21, 2013 to Mar 27, 2014
- Advisory employees · unset to 5.0Feb 14, 2012 to Mar 21, 2013
- BD registered reps · unset to 0.0Feb 14, 2012 to Mar 21, 2013
- Assets in custody · $402M to $424MFeb 14, 2012 to Mar 21, 2013
- Employees · unset to 11.0Feb 14, 2012 to Mar 21, 2013
- State-registered IARs · unset to 0.0Feb 14, 2012 to Mar 21, 2013
- Discretionary RAUM · $406M to $424MFeb 14, 2012 to Mar 21, 2013
- RAUM · $406M to $424MFeb 14, 2012 to Mar 21, 2013
Signals
1 dated events
- L•••••• P•••••••• L••• filed its initial SEC registration (Form ADV)May 18, 2018 · First SEC registration · fact
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