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••• P•••• C••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Jun 27, 2013 · 23 filings
SEC status approved since Jul 5, 2013
RAUM
$214M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$214M as of Mar 30, 2026
Mar 28, 2014$339M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20140 then
Employees (5.A)6 as of Mar 30, 2026
Mar 28, 20146 then
Private funds7 as of Mar 30, 2026
Mar 28, 20145 then
RAUM -2.4% over the last fiscal year-6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $30.5MderivedRAUM 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
- -2.4%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$214M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• P•••• C•••••• F••• I••• L••• | Private Equity Fund | $102M | 5 | Jan 8, 2015 |
| T•• S••••• G•••• H•••••••• I•••no longer reported | Private Equity Fund | $67.1M | 6 | Apr 1, 2013 |
| P•• H•••••••• I•••no longer reported | Private Equity Fund | $37.6M | 7 | Jun 27, 2013 |
| S•• G••••• W•••••••• G•••• H•••••••• L••no longer reported | Private Equity Fund | $35.9M | 4 | Apr 1, 2013 |
| M•• I••••••••• L•• | Private Equity Fund | $34.0M | 11 | Sep 1, 2022 |
| L••• P•••• C•••••• I•• A••• L•••no longer reported | Private Equity Fund | $32.5M | 5 | Mar 29, 2019 |
| C••••••••• I••••••••• L• | Private Equity Fund | $31.0M | 2 | Mar 29, 2019 |
| L••• P•••• C•••••• C••••••••• F••• I••• L••• | Private Equity Fund | $24.5M | 3 | Jan 8, 2015 |
| C•••••••• F••••• C••••••••• L••no longer reported | Private Equity Fund | $21.8M | 3 | Mar 30, 2016 |
| A••••••• G•••• H•••••••• L•• | Private Equity Fund | $19.4M | 2 | Mar 24, 2023 |
| L••• P•••• C•••••• F••• I• L• | Private Equity Fund | $19.4M | 1 | Mar 31, 2022 |
| P•• I••••••• H•••••••• L••no longer reported | Private Equity Fund | $17.0M | 7 | Mar 29, 2018 |
| C•••••••• I••••••••• L••no longer reported | Private Equity Fund | $1.2M | 8 | Sep 10, 2019 |
| L••• P•••• C•••••• F••• I•• L•••no longer reported | Private Equity Fund | $1.0M | 19 | Oct 12, 2012 |
| L••• P•••• C•••••• F•••• L•••no longer reported | Private Equity Fund | $170,746 | 19 | Oct 12, 2012 |
| W••••••• I••••••••• L• | Private Equity Fund | $137,500 | 2 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- S••••• I••• •••• · President Of L••• P•••• C••••••• I••controlsince 09/1997 · owns 50% to 75%
- V•• S••••• E•••• S•••••• · Vice President Of L••• P•••• C••••••• I••.controlsince 11/2014 · owns 50% to 75%
- L••••••• R••••••• D••••••• · Chief Compliance Officer Of L••• P•••• C••••••• I••.since 03/2012 · owns less than 5%
Related persons
Schedule D 7.A
- C••••••••• I•••••••• G•• L••pooled vehicle sponsorn
- L••• P•••• C•••••• P••••••• I••• L•••pooled vehicle sponsorn
- L••• P•••• C•••••• P••••••• I•• L•pooled vehicle sponsory
- L•• I••••••••• L••pooled vehicle sponsorn
- W••••••• I•••••••• G•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $219M to $214MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $219M to $214MMar 26, 2025 to Mar 30, 2026
- RAUM · $219M to $214MMar 26, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $277M to $219MMar 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $277M to $219MMar 21, 2024 to Mar 26, 2025
- RAUM · $277M to $219MMar 21, 2024 to Mar 26, 2025
- Advisory employees · 4 to 5Mar 24, 2023 to Mar 21, 2024
- Assets in custody · 260935781.0 to unsetMar 24, 2023 to Mar 21, 2024
- Employees · 5 to 6Mar 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $261M to $277MMar 24, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $261M to $277MMar 24, 2023 to Mar 21, 2024
- RAUM · $261M to $277MMar 24, 2023 to Mar 21, 2024
- Advisory employees · 5 to 4Sep 1, 2022 to Mar 24, 2023
- Assets in custody · unset to 260935781.0Sep 1, 2022 to Mar 24, 2023
- Employees · 6 to 5Sep 1, 2022 to Mar 24, 2023
- Other offices · 1 to 0Sep 1, 2022 to Mar 24, 2023
- Private funds · 8 to 7Sep 1, 2022 to Mar 24, 2023
- Discretionary RAUM · $233M to $261MSep 1, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $233M to $261MSep 1, 2022 to Mar 24, 2023
- RAUM · $233M to $261MSep 1, 2022 to Mar 24, 2023
- Private funds · 7 to 8Mar 31, 2022 to Sep 1, 2022
- Private funds · 6 to 7Jan 14, 2022 to Mar 31, 2022
- Discretionary RAUM · $395M to $233MJan 14, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $395M to $233MJan 14, 2022 to Mar 31, 2022
- RAUM · $395M to $233MJan 14, 2022 to Mar 31, 2022
- Private funds · 7 to 6Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $221M to $395MMar 27, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $17.0M to $0Mar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $238M to $395MMar 27, 2020 to Mar 30, 2021
- RAUM · $238M to $395MMar 27, 2020 to Mar 30, 2021
- Accounts · 8 to 7Sep 10, 2019 to Mar 27, 2020
- Pooled vehicle clients · 6 to 7Sep 10, 2019 to Mar 27, 2020
- Discretionary RAUM · $237M to $221MSep 10, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $15.8M to $17.0MSep 10, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $253M to $238MSep 10, 2019 to Mar 27, 2020
- RAUM · $253M to $238MSep 10, 2019 to Mar 27, 2020
- Accounts · 12 to 8Mar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · 4 to 6Mar 29, 2018 to Mar 29, 2019
- Private funds · 4 to 7Mar 29, 2018 to Mar 29, 2019
Signals
5 dated events
- L••• P•••• C••••••• I•• reported RAUM $233.5M, down 41% from $395.2M (2022-01-14 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- L••• P•••• C••••••• I•• reported RAUM $395.2M, up 66% from $238.2M (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- L••• P•••• C••••••• I•• reported RAUM $252.9M, down 30% from $363.8M (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- William Gerard Boylan (Vice President & Secretary Of L••• P•••• C••••••• I••.) no longer on Schedule A of L••• P•••• C••••••• I•• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- L••• P•••• C••••••• I•• filed its initial SEC registration (Form ADV)Jun 27, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••• P•••• C••••••• I•• · Independent Sponsorsshared crd · capital_provider
- L••• P•••• C••••••• I•• · Private Equityshared crd · organization
- L••• P•••• C••••••• I•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-593-1800reportedpublic record, Form ADV, Mar 30, 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