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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SEC-registered adviser
L•••••• I••••••••• M••••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Dec 22, 2017 · 16 filings
SEC status approved since Jan 23, 2018
RAUM
$1.0B
reported, Item 5.F
Discretionary
84%
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
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
18
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.0B as of Jun 26, 2026
Mar 29, 2019$345M then
HNW client RAUM$0 as of Jun 26, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Mar 29, 20192 then
Employees (5.A)24 as of Jun 26, 2026
Mar 29, 201912 then
Private funds18 as of Jun 26, 2026
Mar 29, 20199 then
RAUM +18% over the last fiscal year+17% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Jun 26, 2026; 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
- $43.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%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
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.0M, 23 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$1.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0M for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• U••• C••••• O••••••••• F••• Q•• L••• | Other Private Fund | $318M | 51 | Dec 22, 2017 |
| N•••••• C••••• I••••• F••• Q•• L• | Other Private Fund | $207M | 101 | Dec 22, 2017 |
| N•••••• C••••• I••••• F••• A•• L• | Other Private Fund | $87.5M | 49 | Dec 22, 2017 |
| L•• P•••••••• L• | Other Private Fund | $79.1M | 4 | Mar 30, 2024 |
| P•• L••••• L•• | Other Private Fund | $30.5M | 47 | Mar 30, 2024 |
| L•••••• F• S•• F•••••• L•• | Other Private Fund | $13.6M | 3 | Mar 31, 2023 |
| L•••••• U••• C••••• O••••••••• F••• A•• L••• | Other Private Fund | $12.8M | 4 | Dec 22, 2017 |
| P•••••• P••• I••••• F•••• L• | Other Private Fund | $7.3M | 98 | Mar 31, 2023 |
| L•••••• B•• F•••••• L•• | Other Private Fund | $6.9M | 2 | Mar 29, 2019 |
| L•••••• S•• F•••••• L••no longer reported | Other Private Fund | $2.5M | 2 | Mar 29, 2019 |
| L•••••• C•••••• F•••••• L•• | Other Private Fund | $1.7M | 3 | Mar 29, 2019 |
| N•••••• P••• I••••• F•••• L• | Other Private Fund | $1.5M | 71 | Mar 31, 2021 |
| P•••••• P••• G••••• F••• I•• L• | Other Private Fund | $232,000 | 4 | Mar 30, 2024 |
| L•••••• U•• F•••••• L•• | Other Private Fund | $476 | 2 | Mar 29, 2019 |
| L•••••• F•• F•••••• L••no longer reported | Other Private Fund | $0 | 0 | Mar 29, 2019 |
| L•• F•••••• L•• | Other Private Fund | $0 | 1 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D• S••••• D•••••••• R•••••• · Managing Membercontrolsince 10/2011 · owns 75% or more
- F••••••••• N••••••• · Chief Compliance Officer And Senior Counselcontrolsince 05/2019 · owns less than 5%
- H••••••••• M•••••••• E•••• · Managing Directorcontrolsince 02/2015 · owns less than 5%
- H•••••• M••••• C••••• · Director Of Operations And Deputy Compliance Officercontrolsince 02/2015 · owns less than 5%
- L••• D••••• S••••••• · Chief Financial Officercontrolsince 06/2019 · owns less than 5%
Related persons
Schedule D 7.A
- L•••••• A••••••••• A••••• L••pooled vehicle sponsory
- L•••••• C••••• O••••••••• L••pooled vehicle sponsory
- L•••••• S•• A••••• L••investment adviserpooled vehicle sponsorn
- L•• A•••••••• L••pooled vehicle sponsory
- N•••••• C••••• A•••••••• L••pooled vehicle sponsory
- N•••••• P••• A•••••••• L••pooled vehicle sponsory
- P•••••• P••• A•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 21 to 23Mar 29, 2025 to Mar 31, 2026
- Advisory employees · 11 to 13Mar 29, 2025 to Mar 31, 2026
- BD registered reps · 2 to 0Mar 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · 21 to 23Mar 29, 2025 to Mar 31, 2026
- Assets in custody · $848M to $1.0MMar 29, 2025 to Mar 31, 2026
- Employees · 21 to 24Mar 29, 2025 to Mar 31, 2026
- HQ city · SAN MATEO to BURLINGAMEMar 29, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 0Mar 29, 2025 to Mar 31, 2026
- Private funds · 16 to 18Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $719M to $847MMar 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $128M to $157MMar 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $848M to $1.0BMar 29, 2025 to Mar 31, 2026
- RAUM · $848M to $1.0BMar 29, 2025 to Mar 31, 2026
- Accounts · 19 to 21Oct 18, 2024 to Mar 29, 2025
- Advisory employees · 9 to 11Oct 18, 2024 to Mar 29, 2025
- Pooled vehicle clients · 19 to 21Oct 18, 2024 to Mar 29, 2025
- Assets in custody · $766M to $848MOct 18, 2024 to Mar 29, 2025
- Employees · 20 to 21Oct 18, 2024 to Mar 29, 2025
- Financial planning clients · unset to Oct 18, 2024 to Mar 29, 2025
- Private funds · 14 to 16Oct 18, 2024 to Mar 29, 2025
- Discretionary RAUM · $634M to $719MOct 18, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $132M to $128MOct 18, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $766M to $848MOct 18, 2024 to Mar 29, 2025
- RAUM · $766M to $848MOct 18, 2024 to Mar 29, 2025
- Assets in custody · $782M to $766MMar 30, 2024 to Oct 18, 2024
- Discretionary RAUM · $650M to $634MMar 30, 2024 to Oct 18, 2024
- Pooled vehicle RAUM · $782M to $766MMar 30, 2024 to Oct 18, 2024
- RAUM · $782M to $766MMar 30, 2024 to Oct 18, 2024
- Accounts · 15 to 19Jan 18, 2024 to Mar 30, 2024
- Advisory employees · 10 to 9Jan 18, 2024 to Mar 30, 2024
- Pooled vehicle clients · 15 to 19Jan 18, 2024 to Mar 30, 2024
- Assets in custody · $629M to $782MJan 18, 2024 to Mar 30, 2024
- Employees · 19 to 20Jan 18, 2024 to Mar 30, 2024
- Private funds · 11 to 14Jan 18, 2024 to Mar 30, 2024
- Discretionary RAUM · $614M to $650MJan 18, 2024 to Mar 30, 2024
- Non-discretionary RAUM · $14.7M to $132MJan 18, 2024 to Mar 30, 2024
- Pooled vehicle RAUM · $629M to $782MJan 18, 2024 to Mar 30, 2024
- RAUM · $629M to $782MJan 18, 2024 to Mar 30, 2024
- Accounts · 12 to 15Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 8 to 10Mar 30, 2022 to Mar 31, 2023
Signals
9 dated events
- C••••• M•••• H••••• (Director Of Operations And Deputy Compliance Officer) appeared on Schedule A of L•••••• I••••••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- M••••••• H••••••••• (Managing Director) appeared on Schedule A of L•••••• I••••••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- James Patrick Feeney (Managing Director) no longer on Schedule A of L•••••• I••••••••• M••••••••• L•• (listed 2022-03-30, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Mitchell Kenneth Masters (Managing Member) no longer on Schedule A of L•••••• I••••••••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Aragon Anthony Lubiano (Chief Financial Officer) no longer on Schedule A of L•••••• I••••••••• M••••••••• L•• (listed 2019-06-05, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Shun-Hua David Lin (Controller) appeared on Schedule A of L•••••• I••••••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- Nicholas Frederick (Chief Compliance Officer And Senior Counsel) appeared on Schedule A of L•••••• I••••••••• M••••••••• L••Jun 5, 2019 · Control person joined · fact
- L•••••• I••••••••• M••••••••• L•• reported RAUM $345.1M, up 81% from $190.4M (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- L•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L•••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/lateral-imreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L••••••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-396-2200reportedpublic record, Form ADV, Jun 26, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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