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Former SEC-registered adviser

L••••••• C••••••• L•

Former SEC-registered adviserStamford, ConnecticutCRD 166114SEC 801-79260IAPD
Latest filing Sep 1, 2015
First filing on the tape Dec 17, 2012 · 16 filings
RAUM
$103M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$28.2M gross assets
History
16 filings and snapshots on the tape
RAUM$103M as of Sep 1, 2015
Dec 17, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 1, 2015
Dec 17, 20120 then
Employees (5.A)5 as of Sep 1, 2015
Dec 17, 20121 then
Private funds1 as of Sep 1, 2015
Jun 4, 20131 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 2015; 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
$25.8MderivedRAUM 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
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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
yesreportedItem 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)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••• P•••••••• C•••••• L••Hedge Fund$28.2M7Jun 10, 2014
      L••••••• P•••••••• C••••••• L•••no longer reportedHedge Fund$26.0M1Jun 4, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• M••••••• A•••••• · Limited Partner/Chief Investment Officercontrol
        since 03/2013 · owns 25% to 50%
      • G••••• M••••••• R••••• · Limited Partner/Director Of Researchcontrol
        since 03/2013 · owns 10% to 25%
      • G••••••••• P•••• S••••• · Limited Partner/Chief Executive Officer/Chief Compliance Officercontrol
        since 08/2012 · owns 25% to 50%
      • K•••••• T•••••• C• · Limited Partner/Research Analystcontrol
        since 03/2013 · owns less than 5%
      • M•••••••• J•••••• S•••• · Limited Partner/Chief Financial Officercontrol
        since 03/2013 · owns 5% to 10%
      • C•••••• M••••••• A•••••• · Membercontrol
        since 02/2013 · owns 25% to 50% of L••••••• C•••••• H••••••• L••
      • G••••••••• P•••• S••••• · Membercontrol
        since 02/2013 · owns 25% to 50% of L••••••• C•••••• H••••••• L••
      Entity owners
      • L••••••• C•••••• H••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • L••••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Mar 16, 2015 to Aug 31, 2015
      • Discretionary RAUM · $51.2M to $103M
        Jun 23, 2014 to Jan 30, 2015
      • RAUM · $51.2M to $103M
        Jun 23, 2014 to Jan 30, 2015
      • Discretionary RAUM · $43.2M to $51.2M
        Jun 10, 2014 to Jun 23, 2014
      • RAUM · $43.2M to $51.2M
        Jun 10, 2014 to Jun 23, 2014
      • Accounts · 0 to 4
        Jun 10, 2014 to Jun 10, 2014
      • Advisory activities · 1 to 2
        Jun 10, 2014 to Jun 10, 2014
      • Assets in custody · unset to 0.0
        Jun 10, 2014 to Jun 10, 2014
      • Custody of client assets · false to true
        Jun 10, 2014 to Jun 10, 2014
      • Private funds · unset to 1
        Jun 10, 2014 to Jun 10, 2014
      • Discretionary RAUM · $0 to $43.2M
        Jun 10, 2014 to Jun 10, 2014
      • RAUM · $0 to $43.2M
        Jun 10, 2014 to Jun 10, 2014
      • Accounts · 3 to 0
        Jun 4, 2013 to Jun 28, 2013
      • Assets in custody · 0.0 to unset
        Jun 4, 2013 to Jun 28, 2013
      • Custody of client assets · true to false
        Jun 4, 2013 to Jun 28, 2013
      • Private funds · 1 to unset
        Jun 4, 2013 to Jun 28, 2013
      • Discretionary RAUM · $26.0M to $0
        Jun 4, 2013 to Jun 28, 2013
      • RAUM · $26.0M to $0
        Jun 4, 2013 to Jun 28, 2013
      • Accounts · 0 to 3
        May 14, 2013 to Jun 4, 2013
      • Assets in custody · unset to 0.0
        May 14, 2013 to Jun 4, 2013
      • Custody of client assets · false to true
        May 14, 2013 to Jun 4, 2013
      • Private funds · unset to 1
        May 14, 2013 to Jun 4, 2013
      • Discretionary RAUM · $0 to $26.0M
        May 14, 2013 to Jun 4, 2013
      • RAUM · $0 to $26.0M
        May 14, 2013 to Jun 4, 2013
      • Advisory activities · 2 to 1
        Apr 15, 2013 to May 9, 2013
      • Business name · L••••••• C••••••• L•• to L••••••• C••••••• L•
        Apr 15, 2013 to May 9, 2013
      • Legal name · L••••••• C••••••• L•• to L••••••• C••••••• L•
        Apr 15, 2013 to May 9, 2013
      • Advisory employees · 1 to 4
        Dec 17, 2012 to Apr 15, 2013
      • Employees · 1 to 6
        Dec 17, 2012 to Apr 15, 2013
      • Organization form · Limited Liability Company to Limited Partnership
        Dec 17, 2012 to Apr 15, 2013
      Signals
      1 dated events
      • L••••••• C••••••• L• filed its initial SEC registration (Form ADV)
        Jun 28, 2013 · 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