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••••• P•••••••• L•

Former SEC-registered adviserDenver, ColoradoCRD 168577SEC 801-78517IAPD
Latest filing Apr 28, 2017
First filing on the tape Aug 26, 2013 · 11 filings
RAUM
$111M
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
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$111M gross assets
History
11 filings and snapshots on the tape
RAUM$111M as of Mar 24, 2017
Mar 28, 2014$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 28, 20140 then
Employees (5.A)7 as of Mar 24, 2017
Mar 28, 20145 then
Private funds3 as of Mar 24, 2017
Mar 28, 20143 then
RAUM -14% over the last fiscal year+0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2017; 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
$36.8MderivedRAUM 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
-14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$111M, 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)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$111M for 3 clientsreported
Compensation
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
      O• A••••••••• L••Private Equity Fund$83.6M18May 16, 2018
      L••••• P••••••• F••• I• L•Private Equity Fund$10.7M54Aug 26, 2013
      L••••• P••••••• F••• I• P•• L•Private Equity Fund$9.0M6Mar 28, 2014
      L••••• E•••••• C•••••••• H•••••••• L••Private Equity Fund$436,9287Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• M••••••• J••• · Chief Compliance Officer, Cfo And Vice Presidentcontrol
        since 01/2013 · owns less than 5%
      • C•••••••• T••••••• J•• · Owner And Managing Partnercontrol
        since 01/2013 · owns 25% to 50%
      • M•••••••• K••••• J•••• · Owner And Managing Partnercontrol
        since 01/2013 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • L••••• P••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $129M to $111M
        Apr 29, 2016 to Mar 24, 2017
      • Employees · 8 to 7
        Apr 29, 2016 to Mar 24, 2017
      • Discretionary RAUM · $129M to $111M
        Apr 29, 2016 to Mar 24, 2017
      • RAUM · $129M to $111M
        Apr 29, 2016 to Mar 24, 2017
      • Assets in custody · $148M to $129M
        Apr 27, 2015 to Mar 24, 2016
      • Discretionary RAUM · $148M to $129M
        Apr 27, 2015 to Mar 24, 2016
      • RAUM · $148M to $129M
        Apr 27, 2015 to Mar 24, 2016
      • Advisory employees · 5 to 7
        Apr 28, 2014 to Mar 31, 2015
      • Assets in custody · $108M to $148M
        Apr 28, 2014 to Mar 31, 2015
      • Employees · 5 to 8
        Apr 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $108M to $148M
        Apr 28, 2014 to Mar 31, 2015
      • RAUM · $108M to $148M
        Apr 28, 2014 to Mar 31, 2015
      • Related adviser · false to true
        Apr 28, 2014 to Mar 31, 2015
      • Accounts · 2 to 3
        Mar 25, 2014 to Mar 28, 2014
      • Assets in custody · $51.1M to $108M
        Mar 25, 2014 to Mar 28, 2014
      • Private funds · 1 to 3
        Mar 25, 2014 to Mar 28, 2014
      • Discretionary RAUM · $51.1M to $108M
        Jan 6, 2014 to Mar 25, 2014
      • RAUM · $51.1M to $108M
        Jan 6, 2014 to Mar 25, 2014
      • Accounts · 0 to 2
        Aug 26, 2013 to Jan 6, 2014
      • Assets in custody · $0 to $51.1M
        Aug 26, 2013 to Jan 6, 2014
      • Discretionary RAUM · $0 to $51.1M
        Aug 26, 2013 to Jan 6, 2014
      • RAUM · $0 to $51.1M
        Aug 26, 2013 to Jan 6, 2014
      Signals
      1 dated events
      • L••••• P•••••••• L• filed its initial SEC registration (Form ADV)
        Aug 26, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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