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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L•••• S•••• C••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 161767SEC 801-74403IAPD
Latest filing Jun 25, 2014
First filing on the tape Feb 23, 2012 · 6 filings
RAUM
$174M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$174M gross assets
History
6 filings and snapshots on the tape
RAUM$166M as of Mar 24, 2014
Mar 22, 2013$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2014
Mar 22, 20130 then
Employees (5.A)3 as of Mar 24, 2014
Mar 22, 20133 then
Private funds1 as of Mar 24, 2014
Mar 22, 20131 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 25, 2014; 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
$174MderivedRAUM 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
+5.0%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
$174M, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
n/areported
Wrap fee programs
noreported
Custody of client assets
$174M 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• M••••••• D••••• · Principalcontrol
        since 07/2007 · owns 50% to 75%
      • M••••••• H•••••• A•••••• · Managing Partnercontrol
        since 07/2007 · owns 50% to 75%
      • D••••• A••••• M•••••• · Director Of Operations, Cco
        since 01/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $166M to $174M
        Mar 24, 2014 to Jun 25, 2014
      • Discretionary RAUM · $166M to $174M
        Mar 24, 2014 to Jun 25, 2014
      • RAUM · $166M to $174M
        Mar 24, 2014 to Jun 25, 2014
      • Accounts · 2 to 1
        Apr 25, 2013 to Mar 24, 2014
      • Assets in custody · $135M to $166M
        Apr 25, 2013 to Mar 24, 2014
      • Discretionary RAUM · $158M to $166M
        Apr 25, 2013 to Mar 24, 2014
      • RAUM · $158M to $166M
        Apr 25, 2013 to Mar 24, 2014
      • Advisory employees · unset to 2.0
        Apr 19, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Apr 19, 2012 to Mar 22, 2013
      • Assets in custody · $102M to $135M
        Apr 19, 2012 to Mar 22, 2013
      • Employees · unset to 3.0
        Apr 19, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Apr 19, 2012 to Mar 22, 2013
      • Discretionary RAUM · $180M to $158M
        Apr 19, 2012 to Mar 22, 2013
      • RAUM · $180M to $158M
        Apr 19, 2012 to Mar 22, 2013
      Signals
      No event on the tape.
      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