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•• F•••••• G•••• M••••••••• C••••••
Latest filing Mar 31, 2025
First filing on the tape Jun 29, 2017 · 14 filings
SEC status approved since Jul 28, 2017
RAUM
$101M
reported, Item 5.F
Discretionary
61%
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
11
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$101M as of Mar 31, 2025
Mar 29, 2018$252M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 29, 20180 then
Employees (5.A)11 as of Mar 31, 2025
Mar 29, 201822 then
Private funds6 as of Mar 31, 2025
Mar 29, 20187 then
RAUM -3.8% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
- $16.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.8%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$101M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• L•• A•••• H••••• L••• | Private Equity Fund | $38.5M | 4 | Mar 31, 2017 |
| L•• F•••••• G•••• F••• I• L• ••••••••• | Private Equity Fund | $35.5M | 49 | Feb 8, 2018 |
| L•• H•• S••• L• | Private Equity Fund | $22.1M | 2 | Mar 30, 2019 |
| L•• F•••••• G•••• F••• I• L• | Private Equity Fund | $6.2M | 15 | Feb 8, 2018 |
| L•• S•••••• I••••••• G••••• L•• • S••••• 1• E••••• E•• L••no longer reported | Private Equity Fund | $3.2M | 19 | Jan 30, 2015 |
| L•• F•••••• G•••• F••• I••• A• S••••• O• L•• S•••••• I••••••• G••••• L•• | Private Equity Fund | $3.1M | 80 | Jan 30, 2015 |
| L•• S•••••• I••••••• G••••• L•• • S••••• 2••••no longer reported | Private Equity Fund | $657,513 | 24 | Jul 15, 2014 |
| L•• S•••••• I••••••• G••••• L•• • S••••• 2•••• | Private Equity Fund | $100 | 41 | Jul 15, 2014 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• R•••••• M•••••• · Chief Financial Officercontrolsince 10/2013 · owns less than 5%
- B••••• S••••••••• S••••••• · General Counselcontrolsince 09/2022 · owns less than 5%
- C••••••••• M••••••• A••• · Chairman And Member Of The Board Of Directorscontrolsince 07/2021 · owns less than 5%
- M••••••••• K••••• J•••••• · Chief Executive Officer And Member Of The Board Of Directorscontrolsince 02/2020 · owns less than 5%
- H••••• S••••••• S•••• · Chief Compliance Officersince 10/2024 · owns less than 5%
Entity owners
- L•• F•••••• G••••• I••• · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- L•• F•••••• G•••• H•••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Mill Valley, CA10 employees
What changed
consecutive filings, newest first
- Employees · 15 to 11Nov 21, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $66.9M to $62.3MNov 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $38.5M to $39.2MNov 21, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $105M to $101MNov 21, 2024 to Mar 31, 2025
- RAUM · $105M to $101MNov 21, 2024 to Mar 31, 2025
- Employees · 13 to 15Mar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $88.1M to $66.9MMar 30, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $59.0M to $38.5MMar 30, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $147M to $105MMar 30, 2023 to Mar 22, 2024
- RAUM · $147M to $105MMar 30, 2023 to Mar 22, 2024
- Business name · L•• F•••••• G•••• I••• to L•• F•••••• G•••• M••••••••• C••••••Mar 30, 2022 to Mar 30, 2023
- Other offices · 2 to 1Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $139M to $88.1MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $80.7M to $59.0MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $220M to $147MMar 30, 2022 to Mar 30, 2023
- RAUM · $220M to $147MMar 30, 2022 to Mar 30, 2023
- HQ city · NEW YORK to DELRAY BEACHFeb 10, 2022 to Mar 30, 2022
- HQ state · NY to FLFeb 10, 2022 to Mar 30, 2022
- Legal name · L•• F•••••• G•••• I••• to L•• F•••••• G•••• M••••••••• C••••••Feb 10, 2022 to Mar 30, 2022
- Discretionary RAUM · $144M to $139MFeb 10, 2022 to Mar 30, 2022
- Non-discretionary RAUM · $121M to $80.7MFeb 10, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $265M to $220MFeb 10, 2022 to Mar 30, 2022
- RAUM · $265M to $220MFeb 10, 2022 to Mar 30, 2022
- Employees · 17 to 13Jun 17, 2020 to Mar 29, 2021
- Discretionary RAUM · $273M to $144MJun 17, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $0 to $121MJun 17, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $273M to $265MJun 17, 2020 to Mar 29, 2021
- RAUM · $273M to $265MJun 17, 2020 to Mar 29, 2021
- Discretionary RAUM · $268M to $273MMar 30, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $268M to $273MMar 30, 2019 to Mar 30, 2020
- RAUM · $268M to $273MMar 30, 2019 to Mar 30, 2020
- Advisory employees · 12 to 10Jun 4, 2018 to Mar 30, 2019
- Employees · 22 to 17Jun 4, 2018 to Mar 30, 2019
- Private funds · 7 to 6Jun 4, 2018 to Mar 30, 2019
- Discretionary RAUM · $252M to $268MJun 4, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $252M to $268MJun 4, 2018 to Mar 30, 2019
- RAUM · $252M to $268MJun 4, 2018 to Mar 30, 2019
- Other offices · 1 to 2Mar 29, 2018 to Jun 4, 2018
- Accounts · 5 to 6Jun 29, 2017 to Feb 8, 2018
Signals
5 dated events
- L•• F•••••• G•••• M••••••••• C•••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $101.5M)Apr 1, 2026 · Left the SEC roster · derived
- Schrandt Stephanie Boone (General Counsel) appeared on Schedule A of L•• F•••••• G•••• M••••••••• C••••••Mar 30, 2023 · Control person joined · fact
- Lee Alan Zimmerman (Executive Chairman And Member Of The Board Of Directors) no longer on Schedule A of L•• F•••••• G•••• M••••••••• C•••••• (listed 2021-03-29, absent 2022-02-10)Feb 10, 2022 · Control person left · inference
- John Daniel Bush (Chief Investment Officer And Legal Counsel) no longer on Schedule A of L•• F•••••• G•••• M••••••••• C•••••• (listed 2020-06-17, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- L•• F•••••• G•••• I••• filed its initial SEC registration (Form ADV)Jun 29, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•• F•••••• G•••• M••••••••• C•••••• · Private Equityshared crd · organization
- L•• F•••••• G•••• M••••••••• C•••••• · 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