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 31, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Apr 20, 2012
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$62.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$397M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$397M as of Mar 31, 2026
Mar 28, 2013$135M then
HNW client RAUM$62.3M as of Mar 31, 2026
Mar 29, 2018$56.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)7 as of Mar 31, 2026
Mar 28, 20135 then
Private funds1 as of Mar 31, 2026
Mar 28, 20131 then
RAUM -11% over the last fiscal year-14% a year over threeIARs 1 to 1offices 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $397MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $14.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $181M, 2 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$181M46%
- Corporations and businesses$105M26%
- High-net-worth individuals$62.3M16%
- Investment companies$29.3M7.4%
- Pension and profit-sharing plans$10.1M2.6%
- Charitable organizations$8.9M2.2%
- Individual clients
- n/areported
- HNW clients
- 14reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 28reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $181M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.16 fund_share=0.53 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• Z••• Y••Chartered Financial Analyst | New York, Ny | Oct 5, 2023 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• P•••••••• I••••• F•••• L•• | Hedge Fund | $235M | 476 | Mar 30, 2012 |
| L•• R••• E••••• O••••••••• F•••• L••no longer reported | Hedge Fund | $11.7M | 51 | Mar 11, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• W••••• · Chief Operating Officer, Chief Compliance Officer, Principalcontrolsince 04/2015 · owns 10% to 25%
- R•••••• L•••••••• D•••• · Chief Executive Officer, President, Managing Principal, Portfolio Managercontrolsince 10/2011 · owns 75% or more
- S••••• M•••• H••••• · Principalsince 01/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
- L•• P•••••••• I•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
- Naples, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 31 to 28Mar 27, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Mar 27, 2025 to Mar 31, 2026
- Charity clients · 6 to 4Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $202M to $181MMar 27, 2025 to Mar 31, 2026
- Employees · 9 to 7Mar 27, 2025 to Mar 31, 2026
- Other offices · 2 to 3Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $445M to $397MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $63.2M to $62.3MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $10.4M to $10.1MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $202M to $181MMar 27, 2025 to Mar 31, 2026
- RAUM · $445M to $397MMar 27, 2025 to Mar 31, 2026
- Accounts · 40 to 31Oct 16, 2024 to Mar 27, 2025
- Advisory employees · 5 to 4Oct 16, 2024 to Mar 27, 2025
- Charity clients · 8 to 6Oct 16, 2024 to Mar 27, 2025
- Corporate clients · 7 to 6Oct 16, 2024 to Mar 27, 2025
- HNW clients · 20 to 14Oct 16, 2024 to Mar 27, 2025
- Assets in custody · $235M to $202MOct 16, 2024 to Mar 27, 2025
- Financial planning clients · unset to Oct 16, 2024 to Mar 27, 2025
- Other offices · 3 to 2Oct 16, 2024 to Mar 27, 2025
- Discretionary RAUM · $591M to $445MOct 16, 2024 to Mar 27, 2025
- HNW RAUM · $64.3M to $63.2MOct 16, 2024 to Mar 27, 2025
- Pension RAUM · $9.2M to $10.4MOct 16, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $235M to $202MOct 16, 2024 to Mar 27, 2025
- RAUM · $591M to $445MOct 16, 2024 to Mar 27, 2025
- Accounts · 49 to 40Mar 28, 2023 to Mar 26, 2024
- Charity clients · 10 to 8Mar 28, 2023 to Mar 26, 2024
- HNW clients · 27 to 20Mar 28, 2023 to Mar 26, 2024
- Assets in custody · $286M to $235MMar 28, 2023 to Mar 26, 2024
- Employees · 11 to 9Mar 28, 2023 to Mar 26, 2024
- State-registered IARs · 0 to 1Mar 28, 2023 to Mar 26, 2024
- Other offices · 2 to 3Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $627M to $591MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $66.8M to $64.3MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $8.3M to $9.2MMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $286M to $235MMar 28, 2023 to Mar 26, 2024
- RAUM · $627M to $591MMar 28, 2023 to Mar 26, 2024
- Accounts · 56 to 49Nov 11, 2022 to Mar 28, 2023
- Advisory employees · 6 to 5Nov 11, 2022 to Mar 28, 2023
- Charity clients · 13 to 10Nov 11, 2022 to Mar 28, 2023
- Corporate clients · 8 to 7Nov 11, 2022 to Mar 28, 2023
Signals
5 dated events
- Lee Greg Cox (Portfolio Manager) no longer on Schedule A of L•• C•••••• M••••••••• L•• (listed 2022-11-11, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Zhen Jennifer Yap (Portfolio Manager) no longer on Schedule A of L•• C•••••• M••••••••• L•• (listed 2022-11-11, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Wright Edward Turville (Portfolio Manager) no longer on Schedule A of L•• C•••••• M••••••••• L•• (listed 2022-11-11, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Wright Edward Turville (Portfolio Manager) appeared on Schedule A of L•• C•••••• M••••••••• L••Apr 27, 2022 · Control person joined · fact
- L•• C•••••• M••••••••• L•• reported RAUM $635.0M, up 34% from $473.5M (2019-03-28 to 2020-03-27)Mar 27, 2020 · 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
- LDRFUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-927-5800reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $397Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026