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•••••• M••••••••• L••

Former SEC-registered adviserMenlo Park, CaliforniaCRD 161021SEC 801-100365IAPD
Latest filing Jun 4, 2015
First filing on the tape Feb 14, 2012 · 4 filings
RAUM
$245M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$245M gross assets
History
4 filings and snapshots on the tape
RAUM$1.4B as of Mar 26, 2014
Mar 25, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 25, 20130 then
Employees (5.A)11 as of Mar 26, 2014
Mar 25, 201312 then
Private funds1 as of Mar 26, 2014
Mar 25, 20131 then
RAUM -82% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 4, 2015; 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
$245MderivedRAUM 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
-0.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 vehicles, otherreportedItem 5.G
Custody
$182M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.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
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$182M for 1 clientsreported
Compensation
% of AUM, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••• P•••••••• L•••Hedge Fund$245M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••••• L• · Manager; Managing Membercontrol
        since 06/2003 · owns 75% or more
      • W•••• Y••• · Chief Financial Officer; Chief Compliance Officer; Membercontrol
        since 10/2003 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••••• C•••••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 26, 2014 to Jun 4, 2015
      • Advisory employees · 6 to 3
        Mar 26, 2014 to Jun 4, 2015
      • Advisory activities · 1 to 2
        Mar 26, 2014 to Jun 4, 2015
      • Assets in custody · $877M to $182M
        Mar 26, 2014 to Jun 4, 2015
      • Employees · 11 to 7
        Mar 26, 2014 to Jun 4, 2015
      • HQ city · SAN FRANCISCO to MENLO PARK
        Mar 26, 2014 to Jun 4, 2015
      • Discretionary RAUM · $1.4B to $245M
        Mar 26, 2014 to Jun 4, 2015
      • RAUM · $1.4B to $245M
        Mar 26, 2014 to Jun 4, 2015
      • Advisory employees · 7 to 6
        Mar 25, 2013 to Mar 26, 2014
      • Assets in custody · unset to 877172801.0
        Mar 25, 2013 to Mar 26, 2014
      • Custody of client assets · false to true
        Mar 25, 2013 to Mar 26, 2014
      • Employees · 12 to 11
        Mar 25, 2013 to Mar 26, 2014
      • Discretionary RAUM · $1.4B to $1.4B
        Mar 25, 2013 to Mar 26, 2014
      • RAUM · $1.4B to $1.4B
        Mar 25, 2013 to Mar 26, 2014
      • Advisory employees · unset to 7.0
        Feb 14, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 25, 2013
      • Employees · unset to 12.0
        Feb 14, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 25, 2013
      • Discretionary RAUM · $2.0B to $1.4B
        Feb 14, 2012 to Mar 25, 2013
      • RAUM · $2.0B to $1.4B
        Feb 14, 2012 to Mar 25, 2013
      Signals
      1 dated events
      • L••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 4, 2015 · First SEC registration · fact
      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