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Former SEC-registered adviser

L•••••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170448SEC 801-79208IAPD
Latest filing Feb 10, 2017
First filing on the tape Feb 7, 2014 · 7 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Feb 10, 2017
Mar 31, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 10, 2017
Mar 31, 20152 then
Employees (5.A)2 as of Feb 10, 2017
Mar 31, 20153 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 10, 2017; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, subscription, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• M••••• R••• · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • G•••••• A•••••• J• · President And Chief Operating Officercontrol
        since 01/2014 · owns less than 5%
      Entity owners
      • L•••••••• H••••••• L•• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list L•••••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Mar 31, 2015 to Mar 9, 2016
      • Employees · 3 to 2
        Mar 31, 2015 to Mar 9, 2016
      • Insurance-licensed employees · 2 to 1
        Mar 31, 2015 to Mar 9, 2016
      • State-registered IARs · 2 to 1
        Mar 31, 2015 to Mar 9, 2016
      • Accounts · unset to 0.0
        Jul 9, 2014 to Mar 31, 2015
      • Advisory activities · 8 to 3
        Jul 9, 2014 to Mar 31, 2015
      • Discretionary RAUM · unset to 0.0
        Jul 9, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · unset to 0.0
        Jul 9, 2014 to Mar 31, 2015
      • RAUM · unset to 0.0
        Jul 9, 2014 to Mar 31, 2015
      • Employees · 5 to 3
        Feb 7, 2014 to Jul 9, 2014
      • Financial planning clients · unset to 0
        Feb 7, 2014 to Jul 9, 2014
      Signals
      1 dated events
      • L•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 7, 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