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••••••••• M••••••••• L•••

Former SEC-registered adviserEnglewood, New JerseyCRD 161575SEC 801-74020IAPD
Latest filing Mar 29, 2024
First filing on the tape Feb 14, 2012 · 22 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
0 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$2.3B as of Mar 27, 2023
Apr 1, 2013$794M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Apr 1, 20130 then
Employees (5.A)14 as of Mar 29, 2024
Apr 1, 201313 then
Private funds6 as of Mar 27, 2023
Apr 1, 20134 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••••• R••••• P••••••• I•• L•••no longer reportedHedge Fund$373M13Feb 14, 2012
      L••••••••• R••••• P••••••• I••• L•••Hedge Fund$248M16Feb 14, 2012
      L••••••••• R••••• P••••••• I•• L•••Hedge Fund$173M17Mar 31, 2014
      L••••••••• R••••• P••••••• I•• L•••Hedge Fund$139M1Mar 31, 2015
      L••••••••• R••••• P•••••••• L•••Hedge Fund$95.9M5Feb 14, 2012
      L••••••••• R••••• P•••••••• L•••Hedge Fund$79.8M1Mar 31, 2015
      L••••••••• R••••• P••••••• I•• L•••Hedge Fund$45.4M4Mar 31, 2015
      L••••••••• R••••• P•••••••• L•••no longer reportedHedge Fund$00Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• E•••• · Trustee Of J•••••• A• K••••• 2••• P••••••••• T••••control
        since 04/2007 · owns 25% to 50%
      • K••••• D•••• · Chief Compliance Officer/Chief Operating Officer/General Counselcontrol
        since 08/2020 · owns less than 5%
      • U••••• E•• · Limited Partnercontrol
        since 12/2004 · owns 25% to 50%
      Entity owners
      • J•••••• A• K••••• 2••• P••••••••• T•••• · Limited Partner
        direct · owns 25% to 50%
      • L••••••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list L••••••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7.0 to unset
        Mar 27, 2023 to Mar 29, 2024
      • Advisory employees · 14 to 0
        Mar 27, 2023 to Mar 29, 2024
      • Pooled vehicle clients · 7 to 0
        Mar 27, 2023 to Mar 29, 2024
      • Assets in custody · $2.3B to $0
        Mar 27, 2023 to Mar 29, 2024
      • Custody of client assets · true to false
        Mar 27, 2023 to Mar 29, 2024
      • Private funds · 6 to unset
        Mar 27, 2023 to Mar 29, 2024
      • Discretionary RAUM · 2327703147.0 to unset
        Mar 27, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · 0.0 to unset
        Mar 27, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · 2327703147.0 to unset
        Mar 27, 2023 to Mar 29, 2024
      • RAUM · 2327703147.0 to unset
        Mar 27, 2023 to Mar 29, 2024
      • Assets in custody · $2.1B to $2.3B
        Mar 31, 2022 to Mar 27, 2023
      • Discretionary RAUM · $2.1B to $2.3B
        Mar 31, 2022 to Mar 27, 2023
      • Pooled vehicle RAUM · $2.1B to $2.3B
        Mar 31, 2022 to Mar 27, 2023
      • RAUM · $2.1B to $2.3B
        Mar 31, 2022 to Mar 27, 2023
      • Accounts · 8 to 7
        May 18, 2021 to Mar 31, 2022
      • Advisory employees · 11 to 14
        May 18, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 8 to 7
        May 18, 2021 to Mar 31, 2022
      • Assets in custody · $1.3B to $2.1B
        May 18, 2021 to Mar 31, 2022
      • Employees · 11 to 14
        May 18, 2021 to Mar 31, 2022
      • Private funds · 7 to 6
        May 18, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.3B to $2.1B
        May 18, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.3B to $2.1B
        May 18, 2021 to Mar 31, 2022
      • RAUM · $1.3B to $2.1B
        May 18, 2021 to Mar 31, 2022
      • Advisory employees · 14 to 11
        Jan 4, 2021 to Mar 31, 2021
      • Assets in custody · $1.4B to $1.3B
        Jan 4, 2021 to Mar 31, 2021
      • Employees · 14 to 11
        Jan 4, 2021 to Mar 31, 2021
      • Discretionary RAUM · $1.4B to $1.3B
        Jan 4, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.4B to $1.3B
        Jan 4, 2021 to Mar 31, 2021
      • RAUM · $1.4B to $1.3B
        Jan 4, 2021 to Mar 31, 2021
      • Discretionary RAUM · $1.4B to $1.4B
        Mar 30, 2020 to Apr 30, 2020
      • Pooled vehicle RAUM · $1.4B to $1.4B
        Mar 30, 2020 to Apr 30, 2020
      • RAUM · $1.4B to $1.4B
        Mar 30, 2020 to Apr 30, 2020
      • Assets in custody · $1.4B to $1.4B
        May 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.3B to $1.4B
        May 4, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.3B to $1.4B
        May 4, 2019 to Mar 30, 2020
      • RAUM · $1.3B to $1.4B
        May 4, 2019 to Mar 30, 2020
      • Private funds · 8 to 7
        May 7, 2018 to Mar 31, 2019
      • Advisory employees · 13 to 14
        May 7, 2018 to Mar 31, 2019
      • Assets in custody · $1.2B to $1.4B
        May 7, 2018 to Mar 31, 2019
      • Employees · 13 to 14
        May 7, 2018 to Mar 31, 2019
      Signals
      4 dated events
      • L••••••••• M••••••••• L••• reported RAUM $2.1B, up 64% from $1.3B (2021-05-18 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Susie Charendoff (Director Of Investor Relations) no longer on Schedule A of L••••••••• M••••••••• L••• (listed 2021-05-18, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • D•••• K•••• (Chief Compliance Officer/Chief Operating Officer/General Counsel) appeared on Schedule A of L••••••••• M••••••••• L•••
        Jan 4, 2021 · Control person joined · fact
      • Howard D•••• Gefsky (Limited Partner) no longer on Schedule A of L••••••••• M••••••••• L••• (listed 2020-03-30, absent 2020-04-30)
        Apr 30, 2020 · 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
      Across the graphs

      L••••••••• M••••••••• L••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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