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••••••••• C•••••• L••

Former SEC-registered adviserLondon, CRD 166100SEC 801-107236IAPD
Latest filing Jun 18, 2018
First filing on the tape Jan 28, 2016 · 10 filings
RAUM
$3.1B
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
15
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.5B gross assets
History
10 filings and snapshots on the tape
RAUM$3.1B as of Jun 18, 2018
May 9, 2016$246M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Jun 18, 2018
May 9, 20160 then
Employees (5.A)15 as of Jun 18, 2018
May 9, 201613 then
Private funds1 as of Jun 18, 2018
May 9, 20162 then
RAUM -12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2018; 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
$626MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%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
-12%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 businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.6B84%
  • Pension and profit-sharing plans$486M16%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••••• C•••••• M••••• F••• L••••••Hedge Fund$2.5B26Jun 24, 2016
      L••••••••• C•••••• E••••••• F••••• F••• L••••••no longer reportedHedge Fund$227M17Jan 12, 2015
      L••••••••• C•••••• F••••• F••• L••••••no longer reportedHedge Fund$18.8M7Nov 21, 2012
      L••••••••• G••••• I•••••••• F••••• F••• L••••••no longer reportedHedge Fund$990,0181Oct 20, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• B••••• N•• · Managing Partner, Chief Investment Officercontrol
        since 11/2012 · owns 50% to 75%
      • S••••••• G•••••••• L•••• E••••• · Partner, Cro/Ceo/Ccocontrol
        since 11/2012 · owns 10% to 25%
      • Z•••• J•••• D•••••• · Partner, Chief Financial Officercontrol
        since 11/2012 · owns less than 5%
      • M••••••••• B••••• N•• · Managing Partnercontrol
        since 09/2012 · owns 75% or more of L••••••••• C•••••• M••••••••• L••••••
      • H••••• K•••• E•••••••• · Partner, Head Of Business Development
        since 08/2014 · owns less than 5%
      • P••••••• J•••• P••• R•••••••• · Partner, Head Of Operations
        since 11/2012 · owns 5% to 10%
      Entity owners
      • L••••••••• C•••••• M••••••••• L•••••• · Manager
        indirect · owns 75% or more of L••••••••• S••••••• L••••••
      • L••••••••• S••••••• L•••••• · Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • L••••••••• C•••••• M••••••••• L••••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 4
        May 9, 2017 to Jun 18, 2018
      • Charity clients · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • Corporate clients · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • HNW clients · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • Individual clients · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • Pension plan clients · unset to 1.0
        May 9, 2017 to Jun 18, 2018
      • Pooled vehicle clients · unset to 4.0
        May 9, 2017 to Jun 18, 2018
      • Employees · 13 to 15
        May 9, 2017 to Jun 18, 2018
      • Other offices · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • Discretionary RAUM · $4.4B to $3.1B
        May 9, 2017 to Jun 18, 2018
      • HNW RAUM · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • Individual RAUM · unset to 0.0
        May 9, 2017 to Jun 18, 2018
      • Pension RAUM · unset to 486384000.0
        May 9, 2017 to Jun 18, 2018
      • Pooled vehicle RAUM · unset to 2645945000.0
        May 9, 2017 to Jun 18, 2018
      • RAUM · $4.4B to $3.1B
        May 9, 2017 to Jun 18, 2018
      • Discretionary RAUM · $3.6B to $4.4B
        May 2, 2017 to May 9, 2017
      • RAUM · $3.6B to $4.4B
        May 2, 2017 to May 9, 2017
      • Accounts · 3 to 5
        Feb 10, 2017 to Apr 24, 2017
      • Advisory activities · 1 to 2
        Feb 10, 2017 to Apr 24, 2017
      • Discretionary RAUM · $5.9B to $3.6B
        Feb 10, 2017 to Apr 24, 2017
      • RAUM · $5.9B to $3.6B
        Feb 10, 2017 to Apr 24, 2017
      • Related bank · true to false
        Jun 24, 2016 to Jan 23, 2017
      • Private funds · 2 to 1
        May 9, 2016 to Jun 24, 2016
      • Discretionary RAUM · $246M to $5.9B
        May 9, 2016 to Jun 24, 2016
      • RAUM · $246M to $5.9B
        May 9, 2016 to Jun 24, 2016
      • Employees · 12 to 13
        Jan 28, 2016 to Apr 11, 2016
      • Private funds · 4 to 2
        Jan 28, 2016 to Apr 11, 2016
      • Discretionary RAUM · $280M to $246M
        Jan 28, 2016 to Apr 11, 2016
      • RAUM · $280M to $246M
        Jan 28, 2016 to Apr 11, 2016
      Signals
      2 dated events
      • L••••••••• C•••••• L•• reported RAUM $3.1B, down 28% from $4.4B (2017-05-09 to 2018-06-18)
        Jun 18, 2018 · RAUM change · derived
      • L••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jan 28, 2016 · 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