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•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Feb 10, 2012 · 24 filings
SEC status approved since Feb 24, 2012
RAUM
$6.8B
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
59
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$6.8B as of Mar 27, 2026
Mar 25, 2013$3.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 25, 20130 then
Employees (5.A)59 as of Mar 27, 2026
Mar 25, 201339 then
Private funds3 as of Mar 27, 2026
Mar 25, 20136 then
RAUM -27% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $2.3BderivedRAUM 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
- -27%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$6.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• C•••••• M••••• F••• L••• | Hedge Fund | $13B | 293 | Feb 10, 2012 |
| L•••••• C•••••• L••• | Hedge Fund | $4.4B | 202 | Feb 10, 2012 |
| L•••••• C•••••• G••••• M•••••• M••••• F••• L•••no longer reported | Hedge Fund | $2.1B | 84 | Aug 23, 2012 |
| L•••••• C•••••• L• | Hedge Fund | $1.3B | 91 | Feb 10, 2012 |
| L•••••• C•••••• G••••• M•••••• F••• L•••no longer reported | Hedge Fund | $1.1B | 56 | Aug 23, 2012 |
| L•••••• C•••••• G••••• M•••••• F••• L•no longer reported | Hedge Fund | $146M | 28 | Aug 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• D•••• N••••• · Director Of Investor Relations And Marketingcontrolsince 06/2017 · owns less than 5%
- G•••• R••••• K•••• · Ctocontrolsince 02/2019 · owns less than 5%
- M••••••••• J•••••• S•••••• · Partnercontrolsince 03/2005 · owns 25% to 50%
- M••••••••• M•••• · Cfocontrolsince 10/2013 · owns less than 5%
- R•••••• J••••• R••••• · Gc/Ccocontrolsince 03/2014 · owns less than 5%
- S••••• B•••••••• A•••••••• · Partnercontrolsince 03/2005 · owns 25% to 50%
- W••••••• D•••••• E••••• · Coocontrolsince 06/2017 · owns less than 5%
- M••••••••• J•••••• S•••••• · Managing Membercontrolsince 03/2005 · owns F of L•••••• C•••••• G• L••
- S••••• B•••••••• A•••••••• · Managing Membercontrolsince 03/2005 · owns F of L•••••• C•••••• G• L••
- B••••••••• L•••• · L•••• B•••••••••, As Trustee Of The Benajmin S•••• 2006 G••• A•••••• I(E) Trust U/A D•••• 4/19/2006since 04/2006 · owns 10% to 25%
- B••••••••• L•••• · Trustee Of B••••••• S•••• 2••• G••• A•••••• I••• T•••• U•• D•••• 4••••••••since 04/2006 · owns F of B••••••• S•••• 2••• G••• A•••••• I••• T•••• U•• D•••• 4••••••••
Entity owners
- L•••••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
- B••••••• S•••• 2••• G••• A•••••• I••• T•••• U•• D•••• 4•••••••• · Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- L•••••• C•••••• P••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $9,329,428,000 to $6,764,043,000 (-27.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +13.0% (631 comparable advisers, 3.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 2.9% percentile
What changed
consecutive filings, newest first
- Advisory employees · 35 to 31Mar 26, 2025 to Mar 27, 2026
- Employees · 61 to 59Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $9.3B to $6.8BMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $9.3B to $6.8BMar 26, 2025 to Mar 27, 2026
- RAUM · $9.3B to $6.8BMar 26, 2025 to Mar 27, 2026
- Advisory employees · 39 to 35Mar 27, 2024 to Mar 26, 2025
- Employees · 67 to 61Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $13B to $9.3BMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $13B to $9.3BMar 27, 2024 to Mar 26, 2025
- RAUM · $13B to $9.3BMar 27, 2024 to Mar 26, 2025
- Employees · 65 to 67Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $12B to $13BMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $12B to $13BMar 28, 2023 to Mar 27, 2024
- RAUM · $12B to $13BMar 28, 2023 to Mar 27, 2024
- Advisory employees · 37 to 39Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $14B to $12BMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $14B to $12BMar 30, 2022 to Mar 28, 2023
- RAUM · $14B to $12BMar 30, 2022 to Mar 28, 2023
- Advisory employees · 40 to 37Mar 29, 2021 to Mar 30, 2022
- Employees · 66 to 65Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $10B to $14BMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $10B to $14BMar 29, 2021 to Mar 30, 2022
- RAUM · $10B to $14BMar 29, 2021 to Mar 30, 2022
- Advisory employees · 27 to 40Mar 25, 2020 to Mar 29, 2021
- Employees · 54 to 66Mar 25, 2020 to Mar 29, 2021
- Discretionary RAUM · $8.4B to $10BMar 25, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $8.4B to $10BMar 25, 2020 to Mar 29, 2021
- RAUM · $8.4B to $10BMar 25, 2020 to Mar 29, 2021
- Advisory employees · 29 to 27Mar 28, 2019 to Mar 25, 2020
- Employees · 55 to 54Mar 28, 2019 to Mar 25, 2020
- Discretionary RAUM · $5.6B to $8.4BMar 28, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $5.6B to $8.4BMar 28, 2019 to Mar 25, 2020
- RAUM · $5.6B to $8.4BMar 28, 2019 to Mar 25, 2020
- Advisory employees · 44 to 29Dec 19, 2018 to Mar 28, 2019
- Employees · 72 to 55Dec 19, 2018 to Mar 28, 2019
- Discretionary RAUM · $8.6B to $5.6BDec 19, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $8.6B to $5.6BDec 19, 2018 to Mar 28, 2019
- RAUM · $8.6B to $5.6BDec 19, 2018 to Mar 28, 2019
- Other offices · 1 to 0Jun 25, 2018 to Dec 19, 2018
Signals
7 dated events
- L•••••• C•••••• M••••••••• L• reported RAUM $6.8B, down 27% from $9.3B (2025-03-26 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- L•••••• C•••••• M••••••••• L• reported RAUM $9.3B, down 25% from $12.5B (2024-03-27 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- L•••••• C•••••• M••••••••• L• reported RAUM $14.0B, up 35% from $10.4B (2021-03-29 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- L•••••• C•••••• M••••••••• L• reported RAUM $8.4B, up 49% from $5.6B (2019-03-28 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- L•••••• C•••••• M••••••••• L• reported RAUM $5.6B, down 35% from $8.6B (2018-12-19 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Kumar Rajiv Garg (Cto) appeared on Schedule A of L•••••• C•••••• M••••••••• L•Mar 28, 2019 · Control person joined · fact
- L•••••• C•••••• M••••••••• L• reported RAUM $8.6B, up 27% from $6.8B (2017-12-12 to 2018-03-28)Mar 28, 2018 · 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.
How to reach
public business contact points only, each with its source
- Website
- L••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-938-6300reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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