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••• I••••••••• L••
Latest filing Mar 30, 2024
First filing on the tape Apr 2, 2012 · 22 filings
RAUM
$983M
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
140
74 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$983M as of Mar 30, 2024
Mar 28, 2013$335M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2024
Mar 28, 20130 then
Employees (5.A)140 as of Mar 30, 2024
Mar 28, 20134 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2024; 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
- $57.9MderivedRAUM 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
- +22%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
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$896M91%
- Pooled investment vehicles$87.8M8.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• N•••••••• C•••••• · Directorcontrolsince 01/2020 · owns less than 5%
- C•••••••• M•••• A•• · Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- L•••• S•••• · Director, Chief Executive Officercontrolsince 08/2019 · owns less than 5%
- S••••••••• M•••••••• S••••• · Directorcontrolsince 09/2019 · owns less than 5%
Entity owners
- L•••• • G•••••• I••••••••• M••••••••• ••••••••• L•••••• · Shareholderdirect · owns 75% or more
- L•••• • G•••••• G•••• P•• · Shareholderindirect · owns 75% or more of L•••• • G•••••• I••••••••• M••••••••• ••••••••• L••••••
Related persons
Schedule D 7.A
- L•••• A•• G•••••• A•••••••• •••••••• M••••••••• L••••••real estaten
- L•••• • G•••••• ••••••••• M••••••••• S•••••••• L••investment advisern
- L•••• • G•••••• •••• T•••• M•••••••• L••••••pooled vehicle sponsorn
- L&G - Asset Management, A••••••investment adviserbankpooled vehicle sponsornRAUM $267B
- L•••• • G•••••• I••••••••• M••••••••• A••• L••••••investment advisern
- L•••• • G•••••• I••••••••• M••••••••• J•••• K•investment advisern
- L•••• • G•••••• I••••••••• M••••••••• L••••••investment advisern
- L•••• • G•••••• P••••••• L••••••investment advisern
- L•••• A•• G•••••• A•••••••• S•••••• L••••••real estaten
- L••• •••••••• R••• M••••••••• S•••••••• P••pooled vehicle sponsorn
- L••• C••••••••• L•••••• L••••••investment advisern
- L••• L•••••••• F•••• P••pooled vehicle sponsorn
- L••• M••••••• ••••••• L••••••investment adviserpooled vehicle sponsorn
- L••• R••• A••••• ••••••••• L••••••investment adviserpooled vehicle sponsorn
- L••• S•••••••• P••• L••investment advisern
Advisers that list L••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 17Mar 30, 2023 to Mar 30, 2024
- Advisory employees · 65 to 74Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $807M to $983MMar 30, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $145M to $87.8MMar 30, 2023 to Mar 30, 2024
- RAUM · $807M to $983MMar 30, 2023 to Mar 30, 2024
- Accounts · 7 to 14Nov 17, 2022 to Mar 30, 2023
- Advisory employees · 98 to 65Nov 17, 2022 to Mar 30, 2023
- Employees · 132 to 140Nov 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $574M to $807MNov 17, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $50.0M to $145MNov 17, 2022 to Mar 30, 2023
- RAUM · $574M to $807MNov 17, 2022 to Mar 30, 2023
- Accounts · 6 to 7Apr 1, 2021 to Mar 30, 2022
- Advisory employees · 96 to 98Apr 1, 2021 to Mar 30, 2022
- Employees · 131 to 132Apr 1, 2021 to Mar 30, 2022
- Financial planning clients · unset to 0Apr 1, 2021 to Mar 30, 2022
- Discretionary RAUM · $663M to $574MApr 1, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $69.1M to $50.0MApr 1, 2021 to Mar 30, 2022
- RAUM · $663M to $574MApr 1, 2021 to Mar 30, 2022
- Employees · 126 to 131Mar 27, 2020 to Mar 31, 2021
- Discretionary RAUM · $395M to $663MMar 27, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $62.3M to $69.1MMar 27, 2020 to Mar 31, 2021
- RAUM · $395M to $663MMar 27, 2020 to Mar 31, 2021
- Advisory employees · 57 to 96Dec 19, 2019 to Mar 27, 2020
- Employees · 63 to 126Dec 19, 2019 to Mar 27, 2020
- Discretionary RAUM · $429M to $395MDec 19, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $82.1M to $62.3MDec 19, 2019 to Mar 27, 2020
- RAUM · $429M to $395MDec 19, 2019 to Mar 27, 2020
- Advisory employees · 49 to 57Mar 29, 2019 to Dec 19, 2019
- Employees · 55 to 63Mar 29, 2019 to Dec 19, 2019
- Discretionary RAUM · $380M to $429MMar 29, 2019 to Dec 19, 2019
- Pooled vehicle RAUM · $71.7M to $82.1MMar 29, 2019 to Dec 19, 2019
- RAUM · $380M to $429MMar 29, 2019 to Dec 19, 2019
- Accounts · 3 to 6Mar 28, 2018 to Mar 29, 2019
- Advisory employees · 47 to 49Mar 28, 2018 to Mar 29, 2019
- Employees · 47 to 55Mar 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $201M to $380MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $35.2M to $71.7MMar 28, 2018 to Mar 29, 2019
- RAUM · $201M to $380MMar 28, 2018 to Mar 29, 2019
- Accounts · 4 to 3Mar 31, 2017 to Mar 28, 2018
- Advisory employees · 42 to 47Mar 31, 2017 to Mar 28, 2018
Signals
12 dated events
- L••• I••••••••• L•• reported RAUM $807.1M, up 41% from $573.8M (2022-11-17 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Paul Sam Fuschillo (Director) no longer on Schedule A of L••• I••••••••• L•• (listed 2022-03-30, absent 2022-11-17)Nov 17, 2022 · Control person left · inference
- L••• I••••••••• L•• reported RAUM $663.1M, up 68% from $395.3M (2020-03-27 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Charles Nicholas Bamber (Director) appeared on Schedule A of L••• I••••••••• L••Mar 27, 2020 · Control person joined · fact
- Joseph Mark Zinkula (Director, Chief Executive Officer) no longer on Schedule A of L••• I••••••••• L•• (listed 2019-03-29, absent 2019-12-19)Dec 19, 2019 · Control person left · inference
- N••••• K••• A•••• E••• (Director) no longer on Schedule A of L••• I••••••••• L•• (listed 2019-03-29, absent 2019-12-19)Dec 19, 2019 · Control person left · inference
- Sylvia Michelle Scrimgeour (Director) appeared on Schedule A of L••• I••••••••• L••Dec 19, 2019 · Control person joined · fact
- Sonja Laud (Director, Chief Executive Officer) appeared on Schedule A of L••• I••••••••• L••Dec 19, 2019 · Control person joined · fact
- Paul Sam Fuschillo (Director) appeared on Schedule A of L••• I••••••••• L••Dec 19, 2019 · Control person joined · fact
- L••• I••••••••• L•• reported RAUM $380.4M, up 89% from $201.3M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Michael Roger Bartley (Director) no longer on Schedule A of L••• I••••••••• L•• (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Geraldine Siobhan Boylan (Director, Chief Financial Officer) no longer on Schedule A of L••• I••••••••• L•• (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · 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.
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