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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Latest filing Mar 17, 2026
First filing on the tape May 31, 2016 · 12 filings
SEC status approved since Jun 10, 2016
RAUM
$507M
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
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$507M as of Mar 17, 2026
Jan 26, 2017$191M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Jan 26, 20170 then
Employees (5.A)3 as of Mar 17, 2026
Jan 26, 20172 then
Private funds1 as of Mar 17, 2026
Jan 26, 20171 then
RAUM +13% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $127MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%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
- +13%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $278M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$278M55%
- Corporations and businesses$132M26%
- State and municipal entities$96.7M19%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $278M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.55 institutional_share=0.19 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• P•••••••• L••• | Hedge Fund | $294M | 7 | Apr 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••• P••••• C••••• · Manager & Chief Compliance Officercontrolsince 09/2005 · owns 75% or more
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
- Accounts · 3 to 4Mar 11, 2025 to Mar 17, 2026
- Corporate clients · 1 to 2Mar 11, 2025 to Mar 17, 2026
- Assets in custody · $311M to $278MMar 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $447M to $507MMar 11, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $311M to $278MMar 11, 2025 to Mar 17, 2026
- RAUM · $447M to $507MMar 11, 2025 to Mar 17, 2026
- Accounts · 2 to 3Mar 22, 2024 to Mar 11, 2025
- Charity clients · unset to 0.0Mar 22, 2024 to Mar 11, 2025
- Corporate clients · unset to 1.0Mar 22, 2024 to Mar 11, 2025
- HNW clients · unset to 0.0Mar 22, 2024 to Mar 11, 2025
- Individual clients · unset to 0.0Mar 22, 2024 to Mar 11, 2025
- Pension plan clients · unset to 0.0Mar 22, 2024 to Mar 11, 2025
- Assets in custody · $294M to $311MMar 22, 2024 to Mar 11, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 11, 2025
- Discretionary RAUM · $370M to $447MMar 22, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $294M to $311MMar 22, 2024 to Mar 11, 2025
- RAUM · $370M to $447MMar 22, 2024 to Mar 11, 2025
- Assets in custody · $266M to $294MMar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $331M to $370MMar 28, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $266M to $294MMar 28, 2023 to Mar 22, 2024
- RAUM · $331M to $370MMar 28, 2023 to Mar 22, 2024
- Assets in custody · $322M to $266MMar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $397M to $331MMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $322M to $266MMar 30, 2022 to Mar 28, 2023
- RAUM · $397M to $331MMar 30, 2022 to Mar 28, 2023
- Assets in custody · $260M to $322MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $319M to $397MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $260M to $322MMar 30, 2021 to Mar 30, 2022
- RAUM · $319M to $397MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $257M to $260MMar 28, 2020 to Mar 30, 2021
- Discretionary RAUM · $308M to $319MMar 28, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $257M to $260MMar 28, 2020 to Mar 30, 2021
- RAUM · $308M to $319MMar 28, 2020 to Mar 30, 2021
- Assets in custody · $201M to $257MMar 22, 2019 to Mar 28, 2020
- Employees · 2 to 3Mar 22, 2019 to Mar 28, 2020
- Discretionary RAUM · $241M to $308MMar 22, 2019 to Mar 28, 2020
- Pooled vehicle RAUM · $201M to $257MMar 22, 2019 to Mar 28, 2020
- RAUM · $241M to $308MMar 22, 2019 to Mar 28, 2020
- Advisory employees · 3 to 2Mar 29, 2018 to Mar 22, 2019
- Assets in custody · $247M to $201MMar 29, 2018 to Mar 22, 2019
Signals
1 dated events
- L•• A•••••••• L•• filed its initial SEC registration (Form ADV)May 31, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 8478688750reportedpublic record, Form ADV, Mar 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026