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•••••• R••••••• C••••••• L••
Latest filing Mar 28, 2019
First filing on the tape Jun 30, 2014 · 7 filings
RAUM
$60.2M
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
0
beyond the principal office
Private funds
1
$56.6M gross assets
History
7 filings and snapshots on the tape
RAUM$60.2M as of Mar 28, 2019
Mar 31, 2015$269M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 31, 20150 then
Employees (5.A)5 as of Mar 28, 2019
Mar 31, 20155 then
Private funds1 as of Mar 28, 2019
Mar 31, 20151 then
RAUM -28% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
- $30.1MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- Pooled investment vehicles$60.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- fixed, 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• R••••••• C•••••• F••• I• L••• | Private Equity Fund | $3.8M | 37 | Jun 26, 2013 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• P•••••••• B•••••• · Chief Compliance Officer/Chief Financial Officercontrolsince 03/2013 · owns less than 5%
- K•••••• D•••• · Principalcontrolsince 03/2013 · owns 50% to 75%
- R••••••••• E•••••• J••••• · Principalcontrolsince 03/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- L•••••• R••••••• C•••••• P••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $83.1M to $60.2MMar 27, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $83.1M to $60.2MMar 27, 2018 to Mar 28, 2019
- RAUM · $83.1M to $60.2MMar 27, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 2.0Mar 30, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Discretionary RAUM · $210M to $83.1MMar 30, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 83110826.0Mar 30, 2017 to Mar 27, 2018
- RAUM · $210M to $83.1MMar 30, 2017 to Mar 27, 2018
- Discretionary RAUM · $232M to $210MMar 22, 2016 to Mar 30, 2017
- RAUM · $232M to $210MMar 22, 2016 to Mar 30, 2017
- Discretionary RAUM · $269M to $232MSep 22, 2015 to Mar 22, 2016
- RAUM · $269M to $232MSep 22, 2015 to Mar 22, 2016
- HQ city · NEW YORK to STAMFORDMar 31, 2015 to Sep 22, 2015
- HQ state · NY to CTMar 31, 2015 to Sep 22, 2015
- Private funds · 2 to 1Jun 30, 2014 to Mar 31, 2015
- Discretionary RAUM · $280M to $269MJun 30, 2014 to Mar 31, 2015
- RAUM · $280M to $269MJun 30, 2014 to Mar 31, 2015
Signals
2 dated events
- L•••••• R••••••• C••••••• L•• reported RAUM $83.1M, down 60% from $210.1M (2017-03-30 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- L•••••• R••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••••• R••••••• C••••••• L•• · Private Equityshared crd · organization
- L•••••• R••••••• C••••••• L•• · Venture Capitalshared crd · organization
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