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••••••• L••
Latest filing Jun 25, 2013
First filing on the tape Jun 25, 2013 · 1 filings
RAUM
$164M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$304M gross assets
History
1 filings and snapshots on the tape
RAUM: $164M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds: 4
Practice profile
derived from the filing of Jun 25, 2013; 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
- $81.8MderivedRAUM 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
- unknownderivedbetween 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
- $152M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $152M for 2 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• C•••••• I•• L••• | Other Private Fund | $178M | 26 | Mar 30, 2016 |
| L•••••• C•••••• I••• L••• | Other Private Fund | $76.3M | 37 | Mar 31, 2023 |
| L•••••• C••••••• L••• | Private Equity Fund | $4.7M | 23 | Apr 2, 2012 |
| L•••••• I•••••••• I•• L•• | Private Equity Fund | $1.2M | 6 | Mar 31, 2017 |
| L•••••• I•••••••• I••• L•• | Private Equity Fund | $1.1M | 9 | Mar 31, 2023 |
| L•••••• C•••••• F••• I• L••••••••• T•••• | Other Private Fund | $387,172 | 23 | Mar 30, 2022 |
| L•••••• T•••• C••••••••• L••• | Private Equity Fund | $41,402 | 1 | Mar 31, 2017 |
| L•••••• I••••••••• L•• | Private Equity Fund | $31,062 | 3 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• W••••••• J••• · Managercontrolsince 04/2003 · owns 25% to 50%
- P•••••• T•••••• B•••• · Managercontrolsince 04/2003 · owns 25% to 50%
- S•••••••• M•••• E••• · Managercontrolsince 04/2003 · owns 25% to 50%
- V•••••••• G•••••••• D••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 07/2004 · owns less than 5%
Related persons
Schedule D 7.A
- L•••••• P•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- L•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 25, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L•••••• C••••••• L•• · Private Equityshared crd · organization
- L•••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- L••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 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
- 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