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••••• A••••••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160944SEC 801-73987IAPD
Latest filing Jan 29, 2013
First filing on the tape Feb 14, 2012 · 4 filings
RAUM
$9.3M
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
16
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$9.5M gross assets
History
4 filings and snapshots on the tape
RAUM$9.3M as of Jan 29, 2013
Feb 14, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 16
Private funds5 as of Jan 29, 2013
Feb 14, 201210 then
Practice profile
derived from the filing of Jan 29, 2013; 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
$1.9MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$9.3M, 5 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
  • 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$9.3M for 5 clientsreported
Compensation
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
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L• S•••••••• R••••• I•••••••• I• L•••Private Equity Fund$206M27Feb 14, 2012
      L••••• S••••• H•••••• P••••••• L•Private Equity Fund$73.9M10Feb 14, 2012
      L•••• I• A••••••••• P••••••••• L•••Private Equity Fund$26.1M3Feb 14, 2012
      L••• C••••••••• P••••••••• I• L•Private Equity Fund$16.1M5Feb 14, 2012
      L• S•••••••• R••••• I•••••••• L•••Private Equity Fund$9.2M10Feb 14, 2012
      L•••• I••••••• A••••••••• P••••••••• L•••Private Equity Fund$8.1M3Feb 14, 2012
      L•••• I•••••••• L•••Private Equity Fund$150,75912Feb 14, 2012
      L•••• I•••••••• I• L•••Private Equity Fund$76,0354Feb 14, 2012
      L••• I••••••• G•••• L••Private Equity Fund$26,06418Feb 14, 2012
      S•••••••• R••••• L••Private Equity Fund$23,99229Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• J••••• V••••• · Managing Director (Chief Financial Officer (02/2005)), L••••• A••••••••• I••••••••• L••control
        since 06/2005 · owns less than 5%
      • L•••••• M••••••• J••••• · Managing Director, L••••• A••••••••• I••••••••• L••control
        since 06/2005 · owns less than 5%
      • R••••••••• M•••••••• L••• · Managing Director (General Counsel (02/2005); Chief Compliance Officer (02/2012)), L••••• A••••••••• I••••••••• L••control
        since 06/2005 · owns less than 5%
      • R••••••• B••••• W•••••• · Managing Director & Chairman, L••••• A••••••••• I••••••••• L••control
        since 07/2010 · owns less than 5%
      • H••••• T•••••• R••••• · Board Membercontrol
        since 07/2012 · owns F of L••• H••••••• L••
      • H•••••••• J••••• V••••• · Board Membercontrol
        since 03/2007 · owns F of L••••• A••••••••• I••••••••• H••••••• L••
      • H•••••••• J••••• V••••• · Board Membercontrol
        since 06/2009 · owns F of L••• H••••••• L••
      • H•••••••• J••••• V••••• · Managing Directorcontrol
        since 06/2005 · owns F of L••••• A••••••••• I••••••••• L••
      • L•••••• M••••••• J••••• · Board Membercontrol
        since 07/2009 · owns F of L••••• A••••••••• I••••••••• H••••••• L••
      • L•••••• M••••••• J••••• · Managing Directorcontrol
        since 06/2005 · owns F of L••••• A••••••••• I••••••••• L••
      • R••••••••• M•••••••• L••• · Managing Directorcontrol
        since 06/2005 · owns F of L••••• A••••••••• I••••••••• L••
      • R••••••• B••••• W•••••• · Board Membercontrol
        since 11/2006 · owns F of L••••• A••••••••• I••••••••• H••••••• L••
      • R••••••• B••••• W•••••• · Board Membercontrol
        since 11/2006 · owns F of L••• H••••••• L••
      • R••••••• B••••• W•••••• · Managing Directorcontrol
        since 07/2010 · owns F of L••••• A••••••••• I••••••••• L••
      • R••••• J••••••• A•••• · Board Membercontrol
        since 06/2008 · owns F of L••••• A••••••••• I••••••••• H••••••• L••
      • S••••• S••••••• H••••• · Board Membercontrol
        since 11/2006 · owns F of L••• H••••••• L••
      • S••••• S••••••• H••••• · Board Membercontrol
        since 07/2010 · owns F of L••••• A••••••••• I••••••••• H••••••• L••
      Entity owners
      • L••••• A••••••••• I••••••••• H••••••• L•• · Sole Member, L••••• A••••••••• I••••••••• L••
        direct · owns 75% or more
      • L••••• A••••••••• I••••••••• L•• · Managing Member, L••••• R••• E••••• P••••••• L••
        direct · owns 75% or more
      • L••••• A••••••••• I••••••••• H••••••• L•• · Sole Member
        indirect · owns 75% or more of L••••• A••••••••• I••••••••• L••
      • L••• H••••••• L•• · Sole Member
        indirect · owns 75% or more of L••••• A••••••••• I••••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      • L••••• C•••••• M•••••• I••••••••• L••••••
        broker-dealern
      • L••••• C•••••• M•••••• L••
        broker-dealern
      • L••••• F••••• R••• E••••• I•••••••• L•••••
        pooled vehicle sponsory
      • L••••• R••• E••••• P••••••• L••
        investment advisery
      • L••••• S••••• H•••••• P••••••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 5
        Oct 10, 2012 to Jan 29, 2013
      • Advisory employees · unset to 9.0
        Oct 10, 2012 to Jan 29, 2013
      • BD registered reps · unset to 6.0
        Oct 10, 2012 to Jan 29, 2013
      • Assets in custody · $340M to $9.3M
        Oct 10, 2012 to Jan 29, 2013
      • Employees · unset to 16.0
        Oct 10, 2012 to Jan 29, 2013
      • State-registered IARs · unset to 0.0
        Oct 10, 2012 to Jan 29, 2013
      • Private funds · 10 to 5
        Oct 10, 2012 to Jan 29, 2013
      • Discretionary RAUM · $357M to $9.3M
        Oct 10, 2012 to Jan 29, 2013
      • RAUM · $357M to $9.3M
        Oct 10, 2012 to Jan 29, 2013
      • Assets in custody · $1.5B to $340M
        Feb 14, 2012 to Oct 10, 2012
      • Discretionary RAUM · $1.5B to $357M
        Feb 14, 2012 to Oct 10, 2012
      • RAUM · $1.5B to $357M
        Feb 14, 2012 to Oct 10, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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