DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 24, 2015 · 19 filings
SEC status approved since Mar 3, 2015
RAUM
$571M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
17%
$99.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$571M as of Mar 27, 2026
Mar 30, 2016$286M then
HNW client RAUM$99.3M as of Mar 27, 2026
Mar 27, 2018$13.2M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20160 then
Employees (5.A)2 as of Mar 27, 2026
Mar 30, 20162 then
Private funds6 as of Mar 27, 2026
Mar 27, 20183 then
RAUM +13% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $21.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$442M77%
- High-net-worth individuals$99.3M17%
- Pooled investment vehicles$29.7M5.2%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.17 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• S••••••••• F••• L••• S••no longer reported | Hedge Fund | $144M | 3 | Jul 1, 2015 |
| G•••• D••••• S•• L••• T••••• F• S••••••••• P•••••••• • S••••• | Other Private Fund | $25.9M | 3 | Mar 15, 2021 |
| G•••• F••• S•• L••• L••• L••• O••••••••• S••••••••• P•••••••• • S••••• | Other Private Fund | $13.3M | 2 | Mar 15, 2021 |
| G•••• F••• S••• L•• S••••••••• P•••••••• • S••••• | Other Private Fund | $7.9M | 8 | Mar 27, 2018 |
| G•••• F••• S••••• L••• S•••••no longer reported | Other Private Fund | $7.6M | 14 | Mar 21, 2019 |
| G•••• F••• S•••••• L••• L••• P•••••••• • S••••• | Other Private Fund | $5.3M | 15 | Mar 30, 2022 |
| G•••• F••• S••••• L••• L•• P•••••••• • S••••• | Other Private Fund | $4.3M | 13 | Mar 27, 2018 |
| G•••• F••• S••• L••• L••• S••••••••• P•••••••• • S••••• | Other Private Fund | $3.4M | 3 | Mar 21, 2019 |
| G•••• F••• S••• L•• L••• T••• S••••••••• P•••••••• • S••••• | Other Private Fund | $3.4M | 1 | Mar 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• A•••••• L••• · Chief Operating Officercontrolsince 12/2020 · owns less than 5%
- T••••••••• J•••• •••• · Chief Executive Officer, Chief Compliance Officer, Managercontrolsince 12/2014 · owns less than 5%
- T••••••••• M•••• •••• · Trusteecontrolsince 12/2014 · owns F of T•• C••••• T•••• U•••• D•••• D••••••• 1•• 2•••
- T••••••••• M•••• •••• · Trusteecontrolsince 12/2014 · owns F of T•• T••••• T•••• U•••• D•••• D••••••• 1•• 2•••
Entity owners
- T•• C••••• T•••• U•••• D•••• D••••••• 1•• 2••• · Memberdirect · owns 50% to 75%
- T•• T••••• T•••• U•••• D•••• D••••••• 1•• 2••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 26 to 27Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 4 to 5Mar 27, 2025 to Mar 27, 2026
- Private funds · 7 to 6Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $506M to $571MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $96.5M to $99.3MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $59.9M to $29.7MMar 27, 2025 to Mar 27, 2026
- RAUM · $506M to $571MMar 27, 2025 to Mar 27, 2026
- Accounts · 27 to 26Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 8 to 7Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $443M to $506MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $72.6M to $96.5MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $63.5M to $59.9MMar 27, 2024 to Mar 27, 2025
- RAUM · $443M to $506MMar 27, 2024 to Mar 27, 2025
- Accounts · 26 to 27Mar 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $426M to $443MMar 20, 2023 to Mar 27, 2024
- HNW RAUM · $64.6M to $72.6MMar 20, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $69.8M to $63.5MMar 20, 2023 to Mar 27, 2024
- RAUM · $426M to $443MMar 20, 2023 to Mar 27, 2024
- HNW clients · 13 to 15Mar 30, 2022 to Mar 20, 2023
- Individual clients · 1.0 to unsetMar 30, 2022 to Mar 20, 2023
- Discretionary RAUM · $485M to $426MMar 30, 2022 to Mar 20, 2023
- HNW RAUM · $69.9M to $64.6MMar 30, 2022 to Mar 20, 2023
- Individual RAUM · 148459.0 to unsetMar 30, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $85.6M to $69.8MMar 30, 2022 to Mar 20, 2023
- RAUM · $485M to $426MMar 30, 2022 to Mar 20, 2023
- Other offices · 0 to 1Dec 21, 2021 to Mar 30, 2022
- Discretionary RAUM · $413M to $485MDec 21, 2021 to Mar 30, 2022
- HNW RAUM · $57.4M to $69.9MDec 21, 2021 to Mar 30, 2022
- Individual RAUM · unset to 148459.0Dec 21, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $89.4M to $85.6MDec 21, 2021 to Mar 30, 2022
- RAUM · $413M to $485MDec 21, 2021 to Mar 30, 2022
- Accounts · 18 to 26Nov 16, 2020 to Mar 15, 2021
- HNW clients · 7 to 13Nov 16, 2020 to Mar 15, 2021
- Pooled vehicle clients · 6 to 8Nov 16, 2020 to Mar 15, 2021
- Private funds · 5 to 7Nov 16, 2020 to Mar 15, 2021
- Discretionary RAUM · $375M to $413MNov 16, 2020 to Mar 15, 2021
- HNW RAUM · $24.5M to $57.4MNov 16, 2020 to Mar 15, 2021
- Pooled vehicle RAUM · $78.4M to $89.4MNov 16, 2020 to Mar 15, 2021
- RAUM · $375M to $413MNov 16, 2020 to Mar 15, 2021
Signals
2 dated events
- Leon Adrian Caridi (Chief Operating Officer) appeared on Schedule A of L••• C•••••• M••••••••• L••Mar 15, 2021 · Control person joined · fact
- L••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 24, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-870-8973reportedpublic record, Form ADV, Mar 27, 2026
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
- Other 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