DFX Intelligence

RIA Intelligence

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SEC-registered adviser

L••• H••• C•••••• M••••••••• L••

Other adviserNew York, New YorkCRD 166526SEC 801-77648website IAPD

Latest filing Mar 28, 2026

First filing on the tape Feb 8, 2013 · 21 filings

SEC status approved since Feb 15, 2013

RAUM

$1.6B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$1.6B as of Mar 28, 2026

Mar 27, 2014$199M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2026

Mar 27, 20140 then

Employees (5.A)8 as of Mar 28, 2026

Mar 27, 20145 then

Private funds2 as of Mar 28, 2026

Mar 27, 20142 then

RAUM +1.8% over the last fiscal year+22% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 28, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $317MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 61%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: +1.8%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 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

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)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$964M61%
Corporations and businesses$591M37%
Pooled investment vehicles$30.3M1.9%

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: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.02 institutional_share=0.61 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

Every departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
L••• H••• F•••• L•••no longer reported	Hedge Fund	$44.7M	6	Feb 8, 2013
L••• H••• F••• • P•• L•••	Hedge Fund	$25.3M	1	Mar 27, 2015
L••• H••• T••••••• M••••• F••• L•••no longer reported	Hedge Fund	$8.9M	3	Mar 31, 2018
L••• H••• F••• E• L•••no longer reported	Hedge Fund	$2.2M	4	Mar 31, 2017
L••• H••• M••••• F•••• L•••no longer reported	Hedge Fund	$600,000	7	Feb 8, 2013

Owners and control persons

Schedule A and B, latest filing

B••••••••• R•••••• K•••• · Chief Compliance Officercontrol
since 01/2021 · owns less than 5%
D••••• A••••••••• C• · Membercontrol
since 12/2019 · owns 10% to 25%
E••••••••• J•••••• P•••••• · Membercontrol
since 04/2021 · owns 10% to 25%
L••• E••• · Membercontrol
since 01/2022 · owns 10% to 25%
S••••••••• Z•••••• M•••••• · Managing Membercontrol
since 07/2005 · owns 50% to 75%

Related persons

Schedule D 7.A

L••• H••• C•••••• P•••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 6 to 5
Mar 17, 2025 to Mar 28, 2026
Pooled vehicle clients · 1 to 2
Mar 17, 2025 to Mar 28, 2026
Private funds · 1 to 2
Mar 17, 2025 to Mar 28, 2026
Discretionary RAUM · $1.6B to $1.6B
Mar 17, 2025 to Mar 28, 2026
Pooled vehicle RAUM · $30.1M to $30.3M
Mar 17, 2025 to Mar 28, 2026
RAUM · $1.6B to $1.6B
Mar 17, 2025 to Mar 28, 2026
Financial planning clients · unset to
Feb 29, 2024 to Mar 17, 2025
Discretionary RAUM · $1.4B to $1.6B
Feb 29, 2024 to Mar 17, 2025
Pooled vehicle RAUM · $25.3M to $30.1M
Feb 29, 2024 to Mar 17, 2025
RAUM · $1.4B to $1.6B
Feb 29, 2024 to Mar 17, 2025
Related adviser · false to true
Feb 29, 2024 to Mar 17, 2025
Assets in custody · unset to 0.0
Nov 8, 2023 to Feb 29, 2024
Custody of client assets · false to true
Nov 8, 2023 to Feb 29, 2024
Discretionary RAUM · $882M to $1.4B
Nov 8, 2023 to Feb 29, 2024
Pooled vehicle RAUM · $17.8M to $25.3M
Nov 8, 2023 to Feb 29, 2024
RAUM · $882M to $1.4B
Nov 8, 2023 to Feb 29, 2024
Advisory activities · 3 to 4
Feb 3, 2022 to Feb 2, 2023
Pooled vehicle clients · 2 to 1
Feb 3, 2022 to Feb 2, 2023
Assets in custody · 2160344.0 to unset
Feb 3, 2022 to Feb 2, 2023
Custody of client assets · true to false
Feb 3, 2022 to Feb 2, 2023
Private funds · 2 to 1
Feb 3, 2022 to Feb 2, 2023
Discretionary RAUM · $762M to $882M
Feb 3, 2022 to Feb 2, 2023
Pooled vehicle RAUM · $205M to $17.8M
Feb 3, 2022 to Feb 2, 2023
RAUM · $762M to $882M
Feb 3, 2022 to Feb 2, 2023
Pooled vehicle clients · 3 to 2
Feb 5, 2021 to Feb 3, 2022
Assets in custody · $98.7M to $2.2M
Feb 5, 2021 to Feb 3, 2022
Employees · 7 to 8
Feb 5, 2021 to Feb 3, 2022
Private funds · 3 to 2
Feb 5, 2021 to Feb 3, 2022
Discretionary RAUM · $764M to $762M
Feb 5, 2021 to Feb 3, 2022
Pooled vehicle RAUM · $143M to $205M
Feb 5, 2021 to Feb 3, 2022
RAUM · $764M to $762M
Feb 5, 2021 to Feb 3, 2022
Advisory activities · 1 to 3
Jan 25, 2021 to Feb 5, 2021
Pooled vehicle clients · 4 to 3
Jan 25, 2021 to Feb 5, 2021
Assets in custody · $512M to $98.7M
Jan 25, 2021 to Feb 5, 2021
Employees · 2 to 7
Jan 25, 2021 to Feb 5, 2021
Private funds · 4 to 3
Jan 25, 2021 to Feb 5, 2021
Discretionary RAUM · $572M to $764M
Jan 25, 2021 to Feb 5, 2021
Pooled vehicle RAUM · $572M to $143M
Jan 25, 2021 to Feb 5, 2021
RAUM · $572M to $764M
Jan 25, 2021 to Feb 5, 2021
Accounts · 3 to 6
Jan 21, 2020 to Feb 27, 2020

Signals

12 dated events

L••• H••• C•••••• M••••••••• L•• reported RAUM $1.4B, up 57% from $881.9M (2023-11-08 to 2024-02-29)
Feb 29, 2024 · RAUM change · derived
Eric Lau (Member) appeared on Schedule A of L••• H••• C•••••• M••••••••• L••
Feb 2, 2023 · Control person joined · fact
Patrick Joseph Elmlinger (Member) appeared on Schedule A of L••• H••• C•••••• M••••••••• L••
Feb 3, 2022 · Control person joined · fact
L••• H••• C•••••• M••••••••• L•• reported RAUM $763.5M, up 33% from $572.2M (2021-01-25 to 2021-02-05)
Feb 5, 2021 · RAUM change · derived
Kevin Robert Beauregard (Chief Compliance Officer) appeared on Schedule A of L••• H••• C•••••• M••••••••• L••
Jan 25, 2021 · Control person joined · fact
L••• H••• C•••••• M••••••••• L•• reported RAUM $572.2M, up 470% from $100.3M (2020-01-21 to 2020-02-27)
Feb 27, 2020 · RAUM change · derived
Steven Nicklas (Member) no longer on Schedule A of L••• H••• C•••••• M••••••••• L•• (listed 2019-12-26, absent 2020-01-21)
Jan 21, 2020 · Control person left · inference
Joseph Scott Kovarik (Member) no longer on Schedule A of L••• H••• C•••••• M••••••••• L•• (listed 2019-12-26, absent 2020-01-21)
Jan 21, 2020 · Control person left · inference
Francis Terence Schofield (Member) no longer on Schedule A of L••• H••• C•••••• M••••••••• L•• (listed 2019-12-26, absent 2020-01-21)
Jan 21, 2020 · Control person left · inference
C Alexander Defeo (Chief Compliance Officer) appeared on Schedule A of L••• H••• C•••••• M••••••••• L••
Dec 26, 2019 · Control person joined · fact
Trevor Justin Golden (Member) no longer on Schedule A of L••• H••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2019-04-16)
Apr 16, 2019 · Control person left · inference
L••• H••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Feb 8, 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.

How to reach

public business contact points only, each with its source

Website: L•••H•••GROUP.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-792-6671reportedpublic record, Form ADV, Mar 28, 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