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•••• I•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 168194SEC 801-80188IAPD
Latest filing Mar 30, 2016
First filing on the tape Aug 4, 2014 · 6 filings
RAUM
$196M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$183M gross assets
History
6 filings and snapshots on the tape
RAUM$196M as of Mar 30, 2016
Mar 30, 2015$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 30, 20150 then
Employees (5.A)7 as of Mar 30, 2016
Mar 30, 20154 then
Private funds1 as of Mar 30, 2016
Mar 30, 20151 then
RAUM +4.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$49.1MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+4.9%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
$183M, 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
  • 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)
  • 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
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
0reported
Wrap fee programs
noreported
Custody of client assets
$183M for 3 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• I•••• M••••• F•••• L•Hedge Fund$69.0M14Sep 17, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• E•••• M••• · Chief Compliance Officer, Director Of Finance And Operationscontrol
        since 03/2016 · owns less than 5%
      • S••••••• J•••• M•••••• · Manager And Chief Executive Officer Of Adviser And Relying Advisercontrol
        since 08/2013 · owns less than 5%
      • B•••••••• C•••••••• B•••• · Managing Membercontrol
        since 05/2015 · owns 75% or more of G•••••• L••
      • M•••••• M••••••• J•••• · Managing Membercontrol
        since 08/2013 · owns 75% or more of J•••• L••
      • S••••••• J•••• M•••••• · Managing Membercontrol
        since 08/2013 · owns 25% to 50% of 2• S••••••• L••
      • M•••••• M••••••• J•••• · Shareholder
        since 01/2016 · owns 5% to 10%
      • G•••••• G••••••• H••••• · Trustee
        since 08/2013 · owns F of T•• S•••••• 2••• F••••• T••••
      • S••••••• M•••••••• J• · Trustee
        since 08/2013 · owns F of T•• S•••••• 2••• F••••• T••••
      Entity owners
      • 2• S••••••• L•• · Member Of Adviser And Relying Adviser
        direct · owns 25% to 50%
      • G•••••• L•• · Member Of Adviser And Relying Adviser
        direct · owns 25% to 50%
      • J•••• L•• · Member Of Adviser And Relying Adviser
        direct · owns 5% to 10%
      • T•• S•••••• 2••• F••••• T•••• · Member
        indirect · owns 25% to 50% of 2• S••••••• L••
      Related persons
      Schedule D 7.A
      • L•••• I•••• P•••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 5
        Jan 20, 2016 to Mar 30, 2016
      • Assets in custody · $137M to $183M
        Jan 20, 2016 to Mar 30, 2016
      • Employees · 8 to 7
        Jan 20, 2016 to Mar 30, 2016
      • Discretionary RAUM · $187M to $196M
        Jan 20, 2016 to Mar 30, 2016
      • RAUM · $187M to $196M
        Jan 20, 2016 to Mar 30, 2016
      • Advisory employees · 3 to 6
        Dec 2, 2015 to Jan 20, 2016
      • Employees · 4 to 8
        Dec 2, 2015 to Jan 20, 2016
      • Accounts · 2 to 4
        Aug 4, 2014 to Mar 30, 2015
      • Assets in custody · $123M to $137M
        Aug 4, 2014 to Mar 30, 2015
      • Private funds · 2 to 1
        Aug 4, 2014 to Mar 30, 2015
      • Discretionary RAUM · $123M to $187M
        Aug 4, 2014 to Mar 30, 2015
      • RAUM · $123M to $187M
        Aug 4, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • L•••• I•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 4, 2014 · 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