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•••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 173705SEC 801-80539IAPD
Latest filing Mar 30, 2017
First filing on the tape Oct 27, 2014 · 5 filings
RAUM
$68.0M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$5.0M gross assets
History
5 filings and snapshots on the tape
RAUM$68.0M as of Mar 30, 2017
Mar 25, 2015$31.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Mar 25, 20150 then
Employees (5.A)4 as of Mar 30, 2017
Mar 25, 20154 then
Private funds: 1
RAUM +115% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$68.0MderivedRAUM 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
$22.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+115%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
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)
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
noreported
Compensation
% of AUMreported
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•••••• V•••••• P••••••• I• L•Venture Capital Fund$5.0M25Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• M•••• · Chief Compliance Officercontrol
        since 11/2016 · owns less than 5%
      • M•••••••• A•••••• I•• · Co-Founder / Ceocontrol
        since 07/2014 · owns 25% to 50%
      • R•••• M••••••• Y••••• · Co-Foundercontrol
        since 07/2014 · owns 25% to 50%
      • Y•••• P•••• I••• · Founder / Managing Membercontrol
        since 07/2014 · owns 50% to 75%
      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 · 2 to 3
        Nov 15, 2016 to Mar 30, 2017
      • Advisory employees · 2 to 3
        Nov 15, 2016 to Mar 30, 2017
      • State-registered IARs · 0 to 1
        Nov 15, 2016 to Mar 30, 2017
      • Private funds · unset to 1
        Nov 15, 2016 to Mar 30, 2017
      • Discretionary RAUM · $31.6M to $68.0M
        Nov 15, 2016 to Mar 30, 2017
      • RAUM · $31.6M to $68.0M
        Nov 15, 2016 to Mar 30, 2017
      • Discretionary RAUM · $31.5M to $31.6M
        Mar 25, 2015 to Mar 24, 2016
      • RAUM · $31.5M to $31.6M
        Mar 25, 2015 to Mar 24, 2016
      • Accounts · unset to 2.0
        Oct 27, 2014 to Mar 25, 2015
      • BD registered reps · 3 to 4
        Oct 27, 2014 to Mar 25, 2015
      • Employees · 3 to 4
        Oct 27, 2014 to Mar 25, 2015
      • Discretionary RAUM · unset to 31500000.0
        Oct 27, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · unset to 0.0
        Oct 27, 2014 to Mar 25, 2015
      • RAUM · unset to 31500000.0
        Oct 27, 2014 to Mar 25, 2015
      Signals
      1 dated events
      • L•••••• I•••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 27, 2014 · 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