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

E••••••• E••••••• M••••••

Former SEC-registered adviserCentral, CRD 159125SEC 801-72805IAPD
Legal name L••• M•••• I••••••••• E••••••• •••• K•••• L••••••
Latest filing Jun 30, 2014
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$147M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$147M as of Jun 30, 2014
Jun 28, 2012$862M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Jun 28, 20120 then
Employees (5.A)4 as of Jun 30, 2014
Jun 28, 20137 then
Private funds: no history
RAUM -54% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 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
$49.1MderivedRAUM 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
-54%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 pooled vehiclesreportedItem 5.G
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
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
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
      • L•••••••• J•••••• P•••••• · Directorcontrol
        since 06/2009 · owns less than 5%
      • S•••••••• R•••••• M•••••• · Director, Head Of International Product Managementcontrol
        since 09/2010 · owns less than 5%
      • C•••• L•• S•• · Director
        since 09/2013 · owns less than 5%
      • C•••• S•• W•• D•••• · Chief Compliance Officer
        since 09/2013 · owns less than 5%
      Entity owners
      • L• I••••••••• H•••••• L••• · Shareholder
        direct · owns 75% or more
      • L••• M•••• G••••• H••••••• L•••••• · L•••••• Partner
        indirect · owns 75% or more of Lm International Holding LP
      • L••• M•••• I••••••••• H•••••••• L•• · General Partner
        indirect · owns 75% or more of Lm International Holding LP
      • L••• M••••• I••• · Sole Stockholder
        indirect · owns 75% or more of L••• M•••• I••••••••• H•••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list E••••••• E••••••• M•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 3
        Oct 22, 2013 to Jun 30, 2014
      • BD registered reps · 0 to 3
        Oct 22, 2013 to Jun 30, 2014
      • Employees · 7 to 4
        Oct 22, 2013 to Jun 30, 2014
      • Discretionary RAUM · $318M to $147M
        Oct 22, 2013 to Jun 30, 2014
      • RAUM · $318M to $147M
        Oct 22, 2013 to Jun 30, 2014
      • Advisory employees · 4 to 5
        Apr 30, 2013 to Jun 28, 2013
      • Employees · 6 to 7
        Apr 30, 2013 to Jun 28, 2013
      • Accounts · 2 to 3
        Oct 5, 2012 to Apr 30, 2013
      • Advisory employees · unset to 4.0
        Oct 5, 2012 to Apr 30, 2013
      • BD registered reps · unset to 0.0
        Oct 5, 2012 to Apr 30, 2013
      • Employees · unset to 6.0
        Oct 5, 2012 to Apr 30, 2013
      • Discretionary RAUM · $557M to $318M
        Oct 5, 2012 to Apr 30, 2013
      • RAUM · $557M to $318M
        Oct 5, 2012 to Apr 30, 2013
      • Accounts · 4 to 2
        Jun 28, 2012 to Oct 5, 2012
      • Discretionary RAUM · $862M to $557M
        Jun 28, 2012 to Oct 5, 2012
      • RAUM · $862M to $557M
        Jun 28, 2012 to Oct 5, 2012
      • Discretionary RAUM · $56.5M to $862M
        Apr 3, 2012 to Jun 28, 2012
      • RAUM · $56.5M to $862M
        Apr 3, 2012 to Jun 28, 2012
      • Business name · L••• M•••• I••••••••• E••••••• •••• K•••• L•••••• to E••••••• E••••••• M••••••
        Mar 30, 2012 to Apr 3, 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