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

T•••• L•••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 158590SEC 801-73895IAPD
Latest filing Mar 30, 2022
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$204M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$204M gross assets
History
14 filings and snapshots on the tape
RAUM$204M as of Mar 30, 2022
Mar 15, 2013$247M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 15, 20130 then
Employees (5.A)3 as of Mar 30, 2022
Mar 15, 20138 then
Private funds3 as of Mar 30, 2022
Mar 15, 20133 then
RAUM -28% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
$40.7MderivedRAUM 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
-28%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
$204M, 6 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$204M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$204M for 6 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
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• L•••••• M••••• F•••• L•••Hedge Fund$162M3Feb 14, 2012
      T•••• L•••••• P•••••••• L•no longer reportedHedge Fund$139M140Feb 14, 2012
      T• T••••••• F•••• L•no longer reportedHedge Fund$104M14Mar 23, 2018
      T•••• L•••••• O••••••• F•••• L•••no longer reportedHedge Fund$95.6M48Feb 14, 2012
      T• S•••••• O••••••••• F•••• L•Private Equity Fund$37.0M1Mar 24, 2016
      T• L••• M••••• F••• L•Hedge Fund$5.2M2Mar 4, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• C••••••••• G•••••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 10/2019 · owns less than 5%
      • R•• J••••• S•••• · Managing Membercontrol
        since 07/2009 · owns 75% or more
      Related persons
      Schedule D 7.A
      • L•••••• L••• G•• L••
        pooled vehicle sponsorn
      • T•••• L•••••• •••• L••
        bankpooled vehicle sponsorn
      • T• S•••••• O••••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 4, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 5 to 3
        Mar 4, 2021 to Mar 30, 2022
      • Assets in custody · $283M to $204M
        Mar 4, 2021 to Mar 30, 2022
      • Employees · 5 to 3
        Mar 4, 2021 to Mar 30, 2022
      • Discretionary RAUM · $283M to $204M
        Mar 4, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $283M to $204M
        Mar 4, 2021 to Mar 30, 2022
      • RAUM · $283M to $204M
        Mar 4, 2021 to Mar 30, 2022
      • Advisory employees · 4 to 3
        Mar 23, 2020 to Mar 4, 2021
      • Assets in custody · $456M to $283M
        Mar 23, 2020 to Mar 4, 2021
      • Employees · 6 to 5
        Mar 23, 2020 to Mar 4, 2021
      • Discretionary RAUM · $456M to $283M
        Mar 23, 2020 to Mar 4, 2021
      • Pooled vehicle RAUM · $456M to $283M
        Mar 23, 2020 to Mar 4, 2021
      • RAUM · $456M to $283M
        Mar 23, 2020 to Mar 4, 2021
      • Advisory employees · 3 to 4
        Oct 22, 2019 to Mar 23, 2020
      • Assets in custody · $471M to $456M
        Oct 22, 2019 to Mar 23, 2020
      • Private funds · 5 to 3
        Oct 22, 2019 to Mar 23, 2020
      • Discretionary RAUM · $471M to $456M
        Oct 22, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $471M to $456M
        Oct 22, 2019 to Mar 23, 2020
      • RAUM · $471M to $456M
        Oct 22, 2019 to Mar 23, 2020
      • Advisory employees · 6 to 3
        Mar 23, 2018 to Mar 26, 2019
      • Assets in custody · $692M to $471M
        Mar 23, 2018 to Mar 26, 2019
      • Employees · 8 to 6
        Mar 23, 2018 to Mar 26, 2019
      • Discretionary RAUM · $692M to $471M
        Mar 23, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $692M to $471M
        Mar 23, 2018 to Mar 26, 2019
      • RAUM · $692M to $471M
        Mar 23, 2018 to Mar 26, 2019
      • Accounts · 4 to 5
        Oct 20, 2017 to Mar 23, 2018
      • Advisory employees · 4 to 6
        Oct 20, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 5.0
        Oct 20, 2017 to Mar 23, 2018
      • Assets in custody · unset to 692096219.0
        Oct 20, 2017 to Mar 23, 2018
      • Custody of client assets · false to true
        Oct 20, 2017 to Mar 23, 2018
      • Employees · 9 to 8
        Oct 20, 2017 to Mar 23, 2018
      • Private funds · 4 to 5
        Oct 20, 2017 to Mar 23, 2018
      • Discretionary RAUM · $623M to $692M
        Oct 20, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 692096219.0
        Oct 20, 2017 to Mar 23, 2018
      • RAUM · $623M to $692M
        Oct 20, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Oct 20, 2017
      • Advisory employees · 5 to 4
        Mar 24, 2016 to Mar 23, 2017
      • Employees · 12 to 9
        Mar 24, 2016 to Mar 23, 2017
      • Discretionary RAUM · $675M to $623M
        Mar 24, 2016 to Mar 23, 2017
      • RAUM · $675M to $623M
        Mar 24, 2016 to Mar 23, 2017
      Signals
      4 dated events
      • T•••• L•••••• C•••••• M••••••••• L•• reported RAUM $283.1M, down 38% from $456.3M (2020-03-23 to 2021-03-04)
        Mar 4, 2021 · RAUM change · derived
      • J••• P••• (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of T•••• L•••••• C•••••• M••••••••• L•• (listed 2019-05-21, absent 2019-10-22)
        Oct 22, 2019 · Control person left · inference
      • Gabriel Christopher Lastre (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of T•••• L•••••• C•••••• M••••••••• L••
        Oct 22, 2019 · Control person joined · fact
      • T•••• L•••••• C•••••• M••••••••• L•• reported RAUM $471.4M, down 32% from $692.1M (2018-03-23 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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