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••••••••• I••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 172514SEC 801-107931IAPD
Latest filing Dec 14, 2017
First filing on the tape May 27, 2016 · 4 filings
RAUM
$346M
reported, Item 5.F
Discretionary
0.0%
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
12
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$10,000 gross assets
History
4 filings and snapshots on the tape
RAUM$346M as of Dec 14, 2017
May 27, 2016$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 14, 2017
May 27, 20160 then
Employees (5.A)12 as of Dec 14, 2017
May 27, 201613 then
Private funds1 as of Dec 14, 2017
May 27, 20162 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 14, 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
$69.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
unknownderivedbetween 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
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)
  • 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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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•••••• P••••••••• F••• L•Hedge Fund$10,0006Aug 20, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• J• E••• · Chief Compliance Officercontrol
        since 07/2014 · owns less than 5%
      • B••••••••• P••• · Member Of The Board Of Managerscontrol
        since 06/2014 · owns less than 5%
      • B••••• K••••• M•••••• · Chief Financial Officercontrol
        since 10/2015 · owns less than 5%
      • G••••••• T••••••• A••••• G••••• · General Counselcontrol
        since 06/2014 · owns less than 5%
      • L••••••• J••••••• A••• · Managing Partner, Member Of The Board Of Managerscontrol
        since 06/2014 · owns less than 5%
      • L••••••• J••••••• A••• · Holder Of Beneficial Interestcontrol
        since 10/2013 · owns 25% to 50% of L•••••• S•••• M••••••••• B••••••• T••••
      Entity owners
      • L•••••• K••••• C•••••• P••••••• L•• · Member
        direct · owns 75% or more
      • K••••• ••• L••• · Member
        indirect · owns 25% to 50% of L•••••• K••••• C•••••• P••••••• L••
      • K••••• A• · Member
        indirect · owns 75% or more of K••••• ••• L•••
      • L•••••• C•••••• P••••••• L•• · Member
        indirect · owns 50% to 75% of L•••••• K••••• C•••••• P••••••• L••
      • L•••••• H••••••• L•• · Member
        indirect · owns 75% or more of L•••••• C•••••• P••••••• L••
      • L•••••• S•••• M••••••••• B••••••• T•••• · Member
        indirect · owns 50% to 75% of L•••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Mar 30, 2017 to Dec 14, 2017
      • Advisory employees · 2 to 1
        Mar 30, 2017 to Dec 14, 2017
      • Employees · 13 to 12
        Mar 30, 2017 to Dec 14, 2017
      • Other offices · unset to 0.0
        Mar 30, 2017 to Dec 14, 2017
      • Discretionary RAUM · $65.4M to $10,000
        Mar 30, 2017 to Dec 14, 2017
      • Non-discretionary RAUM · $132M to $346M
        Mar 30, 2017 to Dec 14, 2017
      • RAUM · $197M to $346M
        Mar 30, 2017 to Dec 14, 2017
      • Accounts · 3 to 4
        Jun 13, 2016 to Mar 30, 2017
      • Discretionary RAUM · $72.5M to $65.4M
        Jun 13, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $97.0M to $132M
        Jun 13, 2016 to Mar 30, 2017
      • RAUM · $170M to $197M
        Jun 13, 2016 to Mar 30, 2017
      • Private funds · 2 to 1
        May 27, 2016 to Jun 13, 2016
      Signals
      1 dated events
      • L•••••• P••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        May 27, 2016 · 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