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
P•••••• C••••••• L••
Latest filing May 12, 2020
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$509M
reported, Item 5.F
Discretionary
34%
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$509M as of May 12, 2020
Mar 30, 2012$100,000 then
HNW client RAUM$0 as of May 12, 2020
Mar 31, 2018$0 then
State-registered IARs (5.B.3)7 as of May 12, 2020
Mar 30, 20120 then
Employees (5.A)9 as of May 12, 2020
Feb 22, 20135 then
Private funds: no history
RAUM +2.5% over the last fiscal year+0.0% a year over threeIARs 9 to 7
Practice profile
derived from the filing of May 12, 2020; every figure names its basis
- RAUM per advisor
- $72.7MderivedRAUM 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
- $255MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%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
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- $338MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$338M66%
- Investment companies$171M34%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
- M••••••• S••••• A•••• to M••••• R•••••••Sep 30, 2020 · Other
- M••• C••••••••• S••••• to V•••••• G••••• I••••••••Sep 30, 2020 · Other
- R•••••• J••••• L•••• to L•• F•••••••• L••Sep 30, 2020 · Other
- T••••• A• W•••••• to V•••••• G••••• I••••••••Sep 30, 2020 · Other
- A•••• J•• R•••• to A•• W••••• M•••••••••Sep 30, 2020 · Other
- J••••• P••• L•••• to L•• F•••••••• L••Sep 30, 2020 · Other
- T•••••• J••• O••• to A••••••• A••••••• S•••••••• L••Apr 12, 2018 · Other
- R••• A•••••• L••• to 1• E•••••Sep 29, 2017 · Other
- S•••••• M•••• R•••••••• to U•• F•••••••• S••••••• I•••Apr 22, 2016 · Other
Joined, latest
- T••••• A• W•••••• from L•••• C•••••• G••••Jun 14, 2018 · Other
- M••••••• S••••• A•••• from L•••• C•••••• G••••Apr 25, 2018 · Other
- S•••••• M•••• R•••••••• from L•••• C•••••• G••••Jan 4, 2016 · Other
- A•••• J•• R•••• from L•• F•••••••• L••Nov 20, 2014 · Other
- R••• A•••••• L••• from L•••• C•••••• G••••Nov 3, 2014 · Other
- M••• C••••••••• S••••• from C•••••• W••••• M•••••••••Jul 23, 2014 · Other
- J••••• P••• L•••• from L•••• C•••••• G••••Apr 2, 2013 · Other
- R•••••• J••••• L•••• from L•••• C•••••• G••••Apr 1, 2013 · Other
- T•••••• J••• O••• from L•••• C•••••• G••••Apr 1, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for V•••••• G••••• I••••••••Sep 30, 2020 · San Diego, Ca
- 2 left for L•• F•••••••• L••Sep 30, 2020 · San Diego, Ca
- 3 joined from L•••• C•••••• G••••Oct 5, 2020 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••••• P••• · Presidentcontrolsince 01/2013 · owns 10% to 25%
- L••••• R••••••• J••••• · Chief Executive Officercontrolsince 06/2011 · owns 75% or more
- S•••••• M•••• C••••••••• · Chief Investment Officercontrolsince 06/2014 · owns less than 5%
- A••••• M•••••••• S••••• · Chief Compliance Officersince 03/2018 · owns less than 5%
Related persons
Schedule D 7.A
- L•••• S••••••••• L••broker-dealerreal estaten
- L•••• C•••••• G••••investment advisernRAUM $128M
- V•••••• G••••• I••••••••investment advisernRAUM $353M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Feb 5, 2020 to May 12, 2020
- BD registered reps · 7 to 6Feb 5, 2020 to May 12, 2020
- Employees · 10 to 9Feb 5, 2020 to May 12, 2020
- Insurance-licensed employees · 8 to 7Feb 5, 2020 to May 12, 2020
- State-registered IARs · 9 to 7Feb 5, 2020 to May 12, 2020
- Discretionary RAUM · $188M to $171MFeb 5, 2020 to May 12, 2020
- Non-discretionary RAUM · $309M to $338MFeb 5, 2020 to May 12, 2020
- RAUM · $497M to $509MFeb 5, 2020 to May 12, 2020
- Wrap assets (manager) · $309M to $0Feb 5, 2020 to May 12, 2020
- Discretionary RAUM · $203M to $188MJan 4, 2019 to Mar 29, 2019
- Non-discretionary RAUM · $338M to $309MJan 4, 2019 to Mar 29, 2019
- RAUM · $541M to $497MJan 4, 2019 to Mar 29, 2019
- Wrap assets (manager) · $338M to $309MJan 4, 2019 to Mar 29, 2019
- Business name · L•••• C•••••• M••••••••• to P•••••• C••••••• L••Dec 3, 2018 to Jan 4, 2019
- Legal name · LCM INVESTMENT MANAGEMENT, LLC to P•••••• C••••••• L••Dec 3, 2018 to Jan 4, 2019
- Advisory employees · 4 to 6Aug 7, 2017 to Mar 31, 2018
- BD registered reps · 9 to 7Aug 7, 2017 to Mar 31, 2018
- Charity clients · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Corporate clients · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- HNW clients · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Individual clients · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Pension plan clients · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Insurance-licensed employees · 6 to 8Aug 7, 2017 to Mar 31, 2018
- State-registered IARs · 7 to 9Aug 7, 2017 to Mar 31, 2018
- Other offices · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Discretionary RAUM · $201M to $203MAug 7, 2017 to Mar 31, 2018
- HNW RAUM · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Individual RAUM · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Non-discretionary RAUM · $308M to $338MAug 7, 2017 to Mar 31, 2018
- Pension RAUM · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- RAUM · $509M to $541MAug 7, 2017 to Mar 31, 2018
- Wrap assets (manager) · unset to 338316658.0Aug 7, 2017 to Mar 31, 2018
- Wrap assets (sponsor) · unset to 0.0Aug 7, 2017 to Mar 31, 2018
- Legal name · L•••• C•••••• M•••••••••, LLC to LCM INVESTMENT MANAGEMENT, LLCJun 5, 2017 to Aug 7, 2017
- Advisory employees · 5 to 4Aug 18, 2016 to Mar 29, 2017
- BD registered reps · 10 to 9Aug 18, 2016 to Mar 29, 2017
- State-registered IARs · 3 to 7Aug 18, 2016 to Mar 29, 2017
- Discretionary RAUM · $202M to $201MAug 18, 2016 to Mar 29, 2017
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