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
N••••••• L••
Latest filing Oct 3, 2013
First filing on the tape Jun 14, 2012 · 18 filings
RAUM
$129,753
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
37
36 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$129,753 as of Oct 3, 2013
Jun 14, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Oct 3, 2013
Jan 28, 20130 then
Employees (5.A)37 as of Oct 3, 2013
Jan 28, 201316 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 3, 2013; every figure names its basis
- RAUM per advisor
- $8,650derivedRAUM 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
- $14,417derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
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
- 9reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- P•••••• C•••••• H•••• to V•••••• A•••••••Oct 1, 2013 · Other
- C••••••••• A•••••••• C•••••••• to L•• F•••••••• L••Sep 30, 2013 · Other
- K•••• D•••••• B••••• to F•••••• P•••Sep 30, 2013 · Other
- B•••• A••• T••••••• to W•••• F•••• A•••••••Sep 30, 2013 · Other
- J••• P••••• D••••• to E•• F•••••••• A•••••••Sep 27, 2013 · Other
- G•••••• P•••••• L••••••• to P••••••• C•••••• A••••••• C•••••••••Sep 27, 2013 · Other
- K•••• B• D•••••• to S•• F••••••••• L••Sep 27, 2013 · Other
- J••••• Y••• to C••••• A••••••• L••Sep 27, 2013 · Other
- M•••••• J••••• M••••• to E•••••• A••••••• G••••• L••Sep 27, 2013 · Other
- P•••• O•••• S•••• to M••••• S••••••Sep 27, 2013 · Other
- D•••• J•• V•••• to I••••••••• A••••••• S••••••• I••Sep 27, 2013 · Other
- T•• K•••• S•• to W•••••• • R•••Sep 26, 2013 · Other
- W•• S••• M•••••••• to R••••••• A••••••• F••••••••Jul 10, 2013 · Other
- T••••• W•••••• M••••• to S•••••••• A••••••• L••Jan 9, 2013 · Other
Joined, latest
- D•••• J•• V•••• from T••••••••• F•••••••• A•••••••• L••Jul 29, 2013 · Other
- P•••• O•••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 30, 2013 · Other
- T•• K•••• S•• from A••••••••• F•••••••• S•••••••• L••May 20, 2013 · Other
- B•••• A••• T••••••• from M•••••• C•••••• M••••••••• I••Apr 24, 2013 · Other
- J••• J••••• V••••••• from A••••• F•••••••• S••••••••• L••Oct 15, 2012 · Other
- G••••• B••••• W•••• from U•••• F•••••••• S••••••• G••••• I•••Oct 15, 2012 · Other
- K•••• L•••• H••••••••• from L•• F•••••••• L••Oct 15, 2012 · Other
- W•• S••• M•••••••• from V•••••• A•••••••Sep 13, 2012 · Other
- T••••• W•••••• M••••• from V•••••• A•••••••Sep 5, 2012 · Other
- P•••••• C•••••• H•••• from F••••••••• L••Aug 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K•••••• K• · Chief Administrative Officercontrolsince 04/2012 · owns less than 5%
- L••• T•••••• D•••••• · Treasurercontrolsince 04/2012 · owns less than 5%
- M••••••••• P••• · Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- S••••••• E•••••• M••••• · Chief Executive Officer & Presidentcontrolsince 04/2012 · owns less than 5%
- S••••••• D••••••• E••••••••• M• · Chief Marketing Officercontrolsince 04/2012 · owns less than 5%
- W••••• G••••••• P••• · Secretarycontrolsince 08/2013 · owns less than 5%
- W••••• G•••••• B••••• · Chief Investment Officersince 06/2012 · owns less than 5%
Entity owners
- L•• H•••••••• I••• · Managing Memberdirect · owns 75% or more
- L•• F•••••••• H••••••• I••• · Parent Companyindirect · owns 75% or more of L•• H•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- F•••••••• S••••••••• C••••••• L••pooled vehicle sponsorn
- F••••••••• L••investment advisernRAUM $3.5B
- I••••••••• A••••••• G•••• C•••investment advisernRAUM $149M
- L•• F•••••••• L••broker-dealerinvestment advisertrust companyLP sponsorcustodiannRAUM $819B
- L•• I•••••••• A••••••••• I•••real estaten
- T•• P•••••• T•••• C••••••• N•••n
Advisers that list N••••••• L•• as a related person
- 143315 n
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA
What changed
consecutive filings, newest first
- Related bank · true to falseAug 14, 2013 to Oct 3, 2013
- Accounts · 0 to 9Feb 14, 2013 to Mar 28, 2013
- Advisory employees · 6 to 36Feb 14, 2013 to Mar 28, 2013
- BD registered reps · 6 to 13Feb 14, 2013 to Mar 28, 2013
- Employees · 16 to 37Feb 14, 2013 to Mar 28, 2013
- Insurance-licensed employees · 0 to 3Feb 14, 2013 to Mar 28, 2013
- Financial planning clients · 0 to 101-250Feb 14, 2013 to Mar 28, 2013
- State-registered IARs · 0 to 15Feb 14, 2013 to Mar 28, 2013
- Discretionary RAUM · $0 to $129,753Feb 14, 2013 to Mar 28, 2013
- RAUM · $0 to $129,753Feb 14, 2013 to Mar 28, 2013
- Advisory employees · unset to 6.0Oct 18, 2012 to Jan 28, 2013
- BD registered reps · unset to 6.0Oct 18, 2012 to Jan 28, 2013
- Employees · unset to 16.0Oct 18, 2012 to Jan 28, 2013
- State-registered IARs · unset to 0.0Oct 18, 2012 to Jan 28, 2013
- Business name · L•• F•••••••• N•• V•••••• to N••••••• L••Jun 14, 2012 to Jun 26, 2012
- Legal name · L•• F•••••••• N•• V•••••• to N••••••• L••Jun 14, 2012 to Jun 26, 2012
Signals
1 dated events
- L•• F•••••••• N•• V•••••• filed its initial SEC registration (Form ADV)Jun 14, 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