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••••• C•••••• A•••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Feb 14, 2012 · 29 filings
SEC status approved since Jul 16, 2021
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
57
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$0 as of Mar 19, 2026
Apr 1, 2013$246M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Apr 1, 20130 then
Employees (5.A)57 as of Mar 19, 2026
Apr 1, 201356 then
Private funds1 as of Mar 18, 2016
Apr 1, 20131 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• C•••••• R••••• I••••• P••••••••• I• L•no longer reported | Hedge Fund | $1.1M | 3 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• B••••• R•••••• · Chief Executive Officer And Member Of The Board Of Directorscontrolsince 02/2011 · owns less than 5%
- M••••••••• P•••••• L••• · Presidentcontrolsince 06/2017 · owns less than 5%
- M•••••• P•••• A• · Chief Financial Officercontrolsince 03/2021 · owns less than 5%
- P•••••••• R•••••• M•••••• · Head Of Asset Managementcontrolsince 02/2011 · owns less than 5%
- P•••••••• K••••• A••••• · General Counsel And Chief Administrative Officercontrolsince 04/2019 · owns less than 5%
- W••••••• M•••••••• C•••• · Chief Compliance Officer And Senior Regulatory Counselcontrolsince 07/2012 · owns less than 5%
Entity owners
- L••••• M•••• L•• •••••• T••• · Sole Memberdirect · owns 75% or more
- L••••• C•••••• C••• · General Partnerindirect · owns 75% or more of L••••• C•••••• F•••••• H••••••• L••• •••••• R•••• · public reporting company
- L••••• C•••••• F•••••• H••••••• L••• •••••• R•••• · Sole Memberindirect · owns 75% or more of L• T•• I• L••
- L••••• C•••••• F•••••• H••••••• L••• •••••• T••• · Sole Memberindirect · owns 75% or more of L••••• M•••• L•• •••••• T•••
- L• T•• I• L•• · General Partnerindirect · owns 75% or more of L••••• C•••••• F•••••• H••••••• L••• •••••• T•••
Related persons
Schedule D 7.A
- L••••• C•••••• F•••••• L••n
- L••••• C•• F•••••• R••• I••n
- T••••• C•••••• I•••••••• C•••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Miami, FL2 employees
- Santa Monica, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $879,421,336 to $0 (-100.0%) between the annual amendments of 2025-03-07 and 2026-03-19; the peer median change was -29.0% (39 comparable advisers, 0.0th percentile of changes)peers: other advisers, under $100M (39) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 0Mar 7, 2025 to Mar 19, 2026
- Employees · 51 to 57Mar 7, 2025 to Mar 19, 2026
- Discretionary RAUM · $879M to $0Mar 7, 2025 to Mar 19, 2026
- RAUM · $879M to $0Mar 7, 2025 to Mar 19, 2026
- Employees · 57 to 51Feb 28, 2024 to Mar 7, 2025
- Financial planning clients · unset to Feb 28, 2024 to Mar 7, 2025
- Other offices · 2 to 1Feb 28, 2024 to Mar 7, 2025
- Discretionary RAUM · $1.3B to $879MFeb 28, 2024 to Mar 7, 2025
- RAUM · $1.3B to $879MFeb 28, 2024 to Mar 7, 2025
- Advisory employees · 13 to 12Mar 6, 2023 to Feb 28, 2024
- Employees · 60 to 57Mar 6, 2023 to Feb 28, 2024
- Discretionary RAUM · $1.3B to $1.3BMar 6, 2023 to Feb 28, 2024
- RAUM · $1.3B to $1.3BMar 6, 2023 to Feb 28, 2024
- Advisory employees · 11 to 13Dec 19, 2022 to Mar 6, 2023
- Employees · 65 to 60Dec 19, 2022 to Mar 6, 2023
- Discretionary RAUM · $1.3B to $1.3BDec 19, 2022 to Mar 6, 2023
- RAUM · $1.3B to $1.3BDec 19, 2022 to Mar 6, 2023
- Accounts · 1 to 2Nov 16, 2021 to Mar 24, 2022
- Advisory employees · 7 to 11Nov 16, 2021 to Mar 24, 2022
- Other offices · 1 to 2Nov 16, 2021 to Mar 24, 2022
- Discretionary RAUM · $608M to $1.3BNov 16, 2021 to Mar 24, 2022
- RAUM · $608M to $1.3BNov 16, 2021 to Mar 24, 2022
- Accounts · 0 to 1Jun 17, 2021 to Nov 8, 2021
- Employees · 56 to 65Jun 17, 2021 to Nov 8, 2021
- Discretionary RAUM · $0 to $608MJun 17, 2021 to Nov 8, 2021
- RAUM · $0 to $608MJun 17, 2021 to Nov 8, 2021
- Accounts · 1 to 0Mar 26, 2020 to Jun 17, 2021
- Advisory employees · 5 to 7Mar 26, 2020 to Jun 17, 2021
- BD registered reps · 17 to 0Mar 26, 2020 to Jun 17, 2021
- Employees · 72 to 56Mar 26, 2020 to Jun 17, 2021
- Other offices · 3 to 1Mar 26, 2020 to Jun 17, 2021
- Discretionary RAUM · $24.3M to $0Mar 26, 2020 to Jun 17, 2021
- RAUM · $24.3M to $0Mar 26, 2020 to Jun 17, 2021
- Related broker-dealer · true to falseMar 26, 2020 to Jun 17, 2021
- Employees · 70 to 72Apr 9, 2019 to Mar 26, 2020
- Discretionary RAUM · $16.1M to $24.3MApr 9, 2019 to Mar 26, 2020
- RAUM · $16.1M to $24.3MApr 9, 2019 to Mar 26, 2020
- Employees · 68 to 70Feb 6, 2018 to Feb 5, 2019
- Other offices · 2 to 3Feb 6, 2018 to Feb 5, 2019
- Discretionary RAUM · $12.1M to $16.1MFeb 6, 2018 to Feb 5, 2019
Signals
7 dated events
- L••••• C•••••• A•••• M••••••••• L•• reported RAUM $0, down 100% from $879.4M (2025-03-07 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- L••••• C•••••• A•••• M••••••••• L•• reported RAUM $879.4M, down 34% from $1.3B (2024-02-28 to 2025-03-07)Mar 7, 2025 · RAUM change · derived
- L••••• C•••••• A•••• M••••••••• L•• reported RAUM $1.3B, up 119% from $607.5M (2021-11-16 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- L••••• C•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 17, 2021 · First SEC registration · fact
- Alan Marc Fox (Chief Finanical Officer) no longer on Schedule A of L••••• C•••••• A•••• M••••••••• L•• (listed 2020-03-26, absent 2021-06-17)Jun 17, 2021 · Control person left · inference
- A Paul Miceli (Chief Financial Officer) appeared on Schedule A of L••••• C•••••• A•••• M••••••••• L••Jun 17, 2021 · Control person joined · fact
- Martin Thomas Harney (Head Of Merchant Banking And Capital Markets) no longer on Schedule A of L••••• C•••••• A•••• M••••••••• L•• (listed 2019-04-09, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-715-3170reportedpublic record, Form ADV, Mar 19, 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
- No RAUM reportedderiveda 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
Across the graphs
L••••• C•••••• A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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