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

L••• C•••••• ••••••••• I•••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 160574SEC 801-73353websiteIAPD
Latest filing May 1, 2025
First filing on the tape Feb 13, 2012 · 17 filings
SEC status approved since Mar 28, 2012
RAUM
$362M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$362M as of May 1, 2025
Mar 26, 2013$368M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2025
Mar 26, 20130 then
Employees (5.A)1 as of May 1, 2025
Mar 26, 20138 then
Private funds: no history
RAUM -59% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2025; 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
$362MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-55%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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$362M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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•••• A•••••• S•••• · Directorcontrol
        since 03/2018 · owns less than 5%
      • L••• L••••• · Managing Partnercontrol
        since 05/2008 · owns 50% to 75% of L••• C•••••• L••
      • P••••••• M•••••• · Chief Compliance Officer
        since 04/2021 · owns less than 5%
      • T•••••• G•••••• R••••• · Chief Financial Officer
        since 08/2021 · owns less than 5%
      Entity owners
      • L••• C•••••• L•• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 2 to 1
        Jul 5, 2024 to May 1, 2025
      • Financial planning clients · unset to
        Jul 5, 2024 to May 1, 2025
      • Non-discretionary RAUM · $397M to $362M
        Jul 5, 2024 to May 1, 2025
      • RAUM · $397M to $362M
        Jul 5, 2024 to May 1, 2025
      • Advisory employees · 3 to 1
        Mar 30, 2023 to Mar 28, 2024
      • Employees · 5 to 2
        Mar 30, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $886M to $397M
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $886M to $397M
        Mar 30, 2023 to Mar 28, 2024
      • Advisory employees · 4 to 3
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 4 to 5
        Mar 31, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $848M to $886M
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $848M to $886M
        Mar 31, 2022 to Mar 30, 2023
      • HQ city · SANTA MONICA to LOS ANGELES
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $538M to $848M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $538M to $848M
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 7 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 7 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $578M to $538M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $578M to $538M
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 8 to 7
        Mar 31, 2019 to Mar 30, 2020
      • Employees · 9 to 7
        Mar 31, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $1.0B to $578M
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $1.0B to $578M
        Mar 31, 2019 to Mar 30, 2020
      • Advisory employees · 6 to 8
        Mar 31, 2018 to Mar 31, 2019
      • Employees · 8 to 9
        Mar 31, 2018 to Mar 31, 2019
      • Non-discretionary RAUM · $1.1B to $1.0B
        Mar 31, 2018 to Mar 31, 2019
      • RAUM · $1.1B to $1.0B
        Mar 31, 2018 to Mar 31, 2019
      • Advisory employees · 5 to 6
        Mar 30, 2017 to Mar 31, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $1.1B to $1.1B
        Mar 30, 2017 to Mar 31, 2018
      • RAUM · $1.1B to $1.1B
        Mar 30, 2017 to Mar 31, 2018
      • Advisory employees · 9 to 5
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 13 to 8
        Mar 30, 2016 to Mar 30, 2017
      • HQ city · LOS ANGELES to SANTA MONICA
        Mar 30, 2016 to Mar 30, 2017
      Signals
      5 dated events
      • L••• C•••••• ••••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $361.6M)
        Dec 20, 2025 · Left the SEC roster · derived
      • L••• C•••••• ••••••••• I••• reported RAUM $396.9M, down 55% from $885.8M (2023-03-30 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • L••• C•••••• ••••••••• I••• reported RAUM $848.2M, up 58% from $537.8M (2021-03-31 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • David Simon Brown (Chief Operating Officer And Director) no longer on Schedule A of L••• C•••••• ••••••••• I••• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • L••• C•••••• ••••••••• I••• reported RAUM $578.3M, down 43% from $1.0B (2019-03-31 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      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