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••••• A•••••••• L••

Former SEC-registered adviserCRD 163918SEC 801-77226IAPD
Latest filing Dec 20, 2022
First filing on the tape Oct 2, 2012 · 11 filings
RAUM
$116M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$116M gross assets
History
11 filings and snapshots on the tape
RAUM$116M as of Dec 20, 2022
Jul 1, 2013$850M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 20, 2022
Jul 1, 20130 then
Employees (5.A)0 as of Dec 20, 2022
Jul 1, 20134 then
Private funds3 as of Dec 20, 2022
Jul 1, 20135 then
RAUM +57% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 20, 2022; 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
$29.0MderivedRAUM 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
+57%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
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
  • 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$116M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••• F••••••• R••• F•••• L•Hedge Fund$59.5M7Oct 2, 2012
      L••• C•••••• M••••••••• L••Hedge Fund$40.1M6Oct 2, 2012
      L••••••• C•• I•• L••Securitized Asset Fund$16.3M0Oct 2, 2012
      L••••••• C•• I••• L••no longer reportedSecuritized Asset Fund$1.9M0Oct 2, 2012
      L••••••• C•• I• L••no longer reportedSecuritized Asset Fund$1.4M0Oct 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• C•••••••• F•••••• · Ccocontrol
        since 02/2004 · owns 75% or more
      • C•••••••• M••••••• · Shareholder
        since 02/2004 · owns less than 5%
      • L•••••• D••• W• · Shareholder
        since 02/2004 · owns less than 5%
      • W••••••• K•••• A••••• · Shareholder
        since 02/2004 · owns less than 5%
      • D•••••• T••••••• C••• · Shareholder
        since 02/2004 · owns F of J•••••• C• D••••• 2••• I••• T••••
      Entity owners
      • A••• P• D••••• 2••• I••• T•••• · Shareholder
        direct · owns less than 5%
      • E•••••• R• D••••• 2••• I••• T•••• · Shareholder
        direct · owns less than 5%
      • J•••••• C• D••••• 2••• I••• T•••• · Shareholder
        direct · owns less than 5%
      • L••••• F••••• R•••••••• T•••• · Shareholder
        direct · owns less than 5%
      • W•••••• T• D••••• 2••• I••• T•••• · Shareholder
        direct · 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
      • Advisory employees · 1 to 0
        Apr 1, 2021 to Dec 20, 2022
      • Employees · 1 to 0
        Apr 1, 2021 to Dec 20, 2022
      • Discretionary RAUM · $73.8M to $116M
        Apr 1, 2021 to Dec 20, 2022
      • Pooled vehicle RAUM · $73.8M to $116M
        Apr 1, 2021 to Dec 20, 2022
      • RAUM · $73.8M to $116M
        Apr 1, 2021 to Dec 20, 2022
      • Private funds · 4 to 3
        Apr 1, 2020 to Apr 1, 2021
      • Discretionary RAUM · $48.9M to $73.8M
        Apr 1, 2020 to Apr 1, 2021
      • Pooled vehicle RAUM · $48.9M to $73.8M
        Apr 1, 2020 to Apr 1, 2021
      • RAUM · $48.9M to $73.8M
        Apr 1, 2020 to Apr 1, 2021
      • Advisory employees · 2 to 1
        Apr 3, 2019 to Apr 1, 2020
      • Employees · 2 to 1
        Apr 3, 2019 to Apr 1, 2020
      • Other offices · 1 to 0
        Apr 3, 2019 to Apr 1, 2020
      • Discretionary RAUM · $42.9M to $48.9M
        Apr 3, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · $42.9M to $48.9M
        Apr 3, 2019 to Apr 1, 2020
      • RAUM · $42.9M to $48.9M
        Apr 3, 2019 to Apr 1, 2020
      • Discretionary RAUM · $51.0M to $42.9M
        Mar 31, 2018 to Apr 3, 2019
      • Pooled vehicle RAUM · $51.0M to $42.9M
        Mar 31, 2018 to Apr 3, 2019
      • RAUM · $51.0M to $42.9M
        Mar 31, 2018 to Apr 3, 2019
      • Advisory employees · 3 to 2
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Mar 31, 2018
      • Employees · 3 to 2
        Mar 30, 2017 to Mar 31, 2018
      • HQ city · N PALM BEACH to unset
        Mar 30, 2017 to Mar 31, 2018
      • HQ state · FL to unset
        Mar 30, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $105M to $51.0M
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 51016627.0
        Mar 30, 2017 to Mar 31, 2018
      • RAUM · $105M to $51.0M
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $179M to $105M
        Apr 25, 2016 to Mar 30, 2017
      • RAUM · $179M to $105M
        Apr 25, 2016 to Mar 30, 2017
      • Accounts · 5 to 4
        Mar 31, 2015 to Apr 25, 2016
      • Private funds · 5 to 4
        Mar 31, 2015 to Apr 25, 2016
      • Discretionary RAUM · $251M to $179M
        Mar 31, 2015 to Apr 25, 2016
      • RAUM · $251M to $179M
        Mar 31, 2015 to Apr 25, 2016
      • Advisory employees · 4 to 3
        May 13, 2014 to Mar 31, 2015
      • Employees · 4 to 3
        May 13, 2014 to Mar 31, 2015
      • Discretionary RAUM · $644M to $251M
        May 13, 2014 to Mar 31, 2015
      • RAUM · $644M to $251M
        May 13, 2014 to Mar 31, 2015
      • HQ city · RIVIERA BEACH to N PALM BEACH
        Jul 1, 2013 to May 13, 2014
      • Discretionary RAUM · $850M to $644M
        Jul 1, 2013 to May 13, 2014
      • RAUM · $850M to $644M
        Jul 1, 2013 to May 13, 2014
      Signals
      1 dated events
      • L••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 2, 2012 · First SEC registration · fact
      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