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•••• H••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 13, 2012 · 23 filings
SEC status approved since Nov 19, 2012
RAUM
$768M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$768M as of Mar 30, 2026
Mar 26, 2013$31.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20130 then
Employees (5.A)4 as of Mar 30, 2026
Mar 26, 20135 then
Private funds1 as of Mar 30, 2026
Mar 26, 20131 then
RAUM +18% over the last fiscal year+30% 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
- $154MderivedRAUM 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
- +18%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
- Custody
- $549M, 3 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$768M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $549M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••• H••• M••••• F•••• L••• | Hedge Fund | $440M | 22 | Nov 13, 2012 |
| L•••• H••• C••••• F••• L••••••no longer reported | Hedge Fund | $56.1M | 1 | Mar 24, 2016 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••• G••••• · Coo/Cfo/Ccocontrolsince 09/2016 · owns less than 5%
- M•••••• C••••••• R••••• · Managing Partner, Portfolio Managercontrolsince 04/2012 · owns 75% or more
- S••••••••• H•••• L••••• · Trusteesince 08/2023 · owns less than 5%
Entity owners
- M••••• 2••• F••••• T•••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- L•••• H••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $564M to $549MMar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $650M to $768MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $650M to $768MMar 26, 2025 to Mar 30, 2026
- RAUM · $650M to $768MMar 26, 2025 to Mar 30, 2026
- Accounts · 4 to 5May 21, 2024 to Mar 26, 2025
- Pooled vehicle clients · 4 to 5May 21, 2024 to Mar 26, 2025
- Assets in custody · $440M to $564MMay 21, 2024 to Mar 26, 2025
- Financial planning clients · unset to May 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $485M to $650MMay 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $485M to $650MMay 21, 2024 to Mar 26, 2025
- RAUM · $485M to $650MMay 21, 2024 to Mar 26, 2025
- Assets in custody · $306M to $440MMar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $346M to $485MMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $346M to $485MMar 28, 2023 to Mar 26, 2024
- RAUM · $346M to $485MMar 28, 2023 to Mar 26, 2024
- Assets in custody · $414M to $306MMar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $455M to $346MMar 25, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $455M to $346MMar 25, 2022 to Mar 28, 2023
- RAUM · $455M to $346MMar 25, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Mar 25, 2021 to Mar 25, 2022
- Assets in custody · $282M to $414MMar 25, 2021 to Mar 25, 2022
- Employees · 3 to 4Mar 25, 2021 to Mar 25, 2022
- Discretionary RAUM · $383M to $455MMar 25, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $383M to $455MMar 25, 2021 to Mar 25, 2022
- RAUM · $383M to $455MMar 25, 2021 to Mar 25, 2022
- Accounts · 5 to 4Mar 30, 2020 to Mar 25, 2021
- Advisory employees · 4 to 2Mar 30, 2020 to Mar 25, 2021
- Advisory activities · 2 to 1Mar 30, 2020 to Mar 25, 2021
- Pension plan clients · 1.0 to unsetMar 30, 2020 to Mar 25, 2021
- Assets in custody · $0 to $282MMar 30, 2020 to Mar 25, 2021
- Employees · 5 to 3Mar 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $432M to $383MMar 30, 2020 to Mar 25, 2021
- Pension RAUM · 49239905.0 to unsetMar 30, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $383M to $383MMar 30, 2020 to Mar 25, 2021
- RAUM · $432M to $383MMar 30, 2020 to Mar 25, 2021
- Related bank · false to trueMar 30, 2020 to Mar 25, 2021
- Advisory employees · 3 to 4Mar 20, 2019 to Mar 30, 2020
- Employees · 6 to 5Mar 20, 2019 to Mar 30, 2020
- Discretionary RAUM · $502M to $432MMar 20, 2019 to Mar 30, 2020
- Pension RAUM · $30.5M to $49.2MMar 20, 2019 to Mar 30, 2020
Signals
5 dated events
- L•••• H••• C••••••• L•• reported RAUM $650.0M, up 34% from $485.0M (2024-05-21 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- L•••• H••• C••••••• L•• reported RAUM $485.0M, up 40% from $345.7M (2023-03-28 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Abigail Jessica Davis (Coo/Cco) no longer on Schedule A of L•••• H••• C••••••• L•• (listed 2019-03-20, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- L•••• H••• C••••••• L•• reported RAUM $502.2M, down 59% from $1.2B (2018-03-23 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- L•••• H••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 13, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-714-7840reportedpublic 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