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••• C•••••• M••••••••• L••
Latest filing Mar 30, 2022
First filing on the tape Feb 13, 2012 · 13 filings
RAUM
$243M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$243M gross assets
History
13 filings and snapshots on the tape
RAUM$243M as of Mar 30, 2022
Mar 28, 2013$650M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20130 then
Employees (5.A)9 as of Mar 30, 2022
Mar 28, 201324 then
Private funds2 as of Mar 30, 2022
Mar 28, 20132 then
RAUM +18% over the last fiscal year-5.9% 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
- $121MderivedRAUM 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
- +18%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
- $243M, 2 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)
- 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$243M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $243M for 2 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• W•••••••• L••no longer reported | Private Equity Fund | $4.2M | 45 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• T••••••• M•••••• · Chairman And Chief Executive Officercontrolsince 06/2001 · owns less than 5%
- Y•••••••• P•••• G••••• · President And Membercontrolsince 06/2001 · owns 50% to 75%
- G••••••• T••••••• M•••••• · Sole Membercontrolsince 06/2001 · owns 75% or more of L••• C••••• L••
- H••••• M••••••• J••• · Chief Compliance Officersince 02/2012 · owns less than 5%
Entity owners
- L••• C••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- L••• C•••••• I••••••••• P••••••• I• L•pooled vehicle sponsorn
- L••• C•••••• I••••••••• P••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $206M to $243MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $206M to $243MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $206M to $243MMar 30, 2021 to Mar 30, 2022
- RAUM · $206M to $243MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $282M to $206MJun 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $282M to $206MJun 29, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $282M to $206MJun 29, 2020 to Mar 30, 2021
- RAUM · $282M to $206MJun 29, 2020 to Mar 30, 2021
- Assets in custody · $292M to $282MMar 28, 2019 to Mar 29, 2020
- Discretionary RAUM · $292M to $282MMar 28, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $292M to $282MMar 28, 2019 to Mar 29, 2020
- RAUM · $292M to $282MMar 28, 2019 to Mar 29, 2020
- Assets in custody · $321M to $292MMar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $321M to $292MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $321M to $292MMar 29, 2018 to Mar 28, 2019
- RAUM · $321M to $292MMar 29, 2018 to Mar 28, 2019
- Advisory employees · 6 to 5Sep 14, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Sep 14, 2017 to Mar 29, 2018
- Assets in custody · $510M to $321MSep 14, 2017 to Mar 29, 2018
- Employees · 15 to 9Sep 14, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Sep 14, 2017 to Mar 29, 2018
- Discretionary RAUM · $510M to $321MSep 14, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 320985524.0Sep 14, 2017 to Mar 29, 2018
- RAUM · $510M to $321MSep 14, 2017 to Mar 29, 2018
- Related adviser · true to falseSep 14, 2017 to Mar 29, 2018
- Advisory employees · 7 to 6Mar 30, 2016 to Mar 30, 2017
- Assets in custody · $523M to $510MMar 30, 2016 to Mar 30, 2017
- Employees · 17 to 15Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $523M to $510MMar 30, 2016 to Mar 30, 2017
- RAUM · $523M to $510MMar 30, 2016 to Mar 30, 2017
- Advisory employees · 8 to 7Mar 30, 2015 to Mar 30, 2016
- Assets in custody · $468M to $523MMar 30, 2015 to Mar 30, 2016
- Employees · 20 to 17Mar 30, 2015 to Mar 30, 2016
- Discretionary RAUM · $493M to $523MMar 30, 2015 to Mar 30, 2016
- RAUM · $493M to $523MMar 30, 2015 to Mar 30, 2016
- Assets in custody · $363M to $468MMar 28, 2014 to Mar 30, 2015
- Discretionary RAUM · $497M to $493MMar 28, 2014 to Mar 30, 2015
- RAUM · $497M to $493MMar 28, 2014 to Mar 30, 2015
- Advisory employees · 10 to 8Mar 28, 2013 to Mar 28, 2014
- Assets in custody · $512M to $363MMar 28, 2013 to Mar 28, 2014
Signals
1 dated events
- L••• C•••••• M••••••••• L•• reported RAUM $321.0M, down 37% from $509.9M (2017-09-14 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- L••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
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