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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SEC-registered adviser
L••• P•••••• P•••••••
Legal name L••• P•••••• M••••••••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 29, 2022 · 5 filings
SEC status approved since Jul 29, 2022
RAUM
$213M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$213M as of Mar 27, 2026
Mar 31, 2023$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20230 then
Employees (5.A)2 as of Mar 27, 2026
Mar 31, 20233 then
Private funds1 as of Mar 27, 2026
Mar 31, 20231 then
RAUM +12% over the last fiscal year+4.5% 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $213MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $213M, 1 clientsreportedItem 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
- 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
- Pooled investment vehicles$213M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $213M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• P•••••• F••• I•• L••• | Private Equity Fund | $186M | 27 | Mar 29, 2019 |
| L••• P•••••• I• G• L••no longer reported | Private Equity Fund | $9.2M | 3 | Jan 2, 2015 |
| L••• P•••••• C•• P••••••• L••no longer reported | Private Equity Fund | $8.1M | 11 | Jan 2, 2015 |
| L••• P•••••• O••••••••• F•••• L•••no longer reported | Private Equity Fund | $3.2M | 11 | Jan 2, 2015 |
| L••• P•••••• I• M• L•no longer reported | Private Equity Fund | $2.1M | 3 | Jan 2, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• W••••• L•• · Member Of L••• P•••••• M••••••••• C••••••• L••controlsince 12/2014 · owns 50% to 75%
- V•••• W••••••• R••••• · Member Of L••• P•••••• M••••••••• C••••••• L•• And Ccocontrolsince 12/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
- L••• P•••••• M••••••••• I•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $190M to $213MMar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $190M to $213MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $190M to $213MMar 26, 2025 to Mar 27, 2026
- RAUM · $190M to $213MMar 26, 2025 to Mar 27, 2026
- Assets in custody · $186M to $190MMar 27, 2024 to Mar 26, 2025
- Employees · 3 to 2Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $186M to $190MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $186M to $190MMar 27, 2024 to Mar 26, 2025
- RAUM · $186M to $190MMar 27, 2024 to Mar 26, 2025
- Assets in custody · $187M to $186MMar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $187M to $186MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $187M to $186MMar 31, 2023 to Mar 27, 2024
- RAUM · $187M to $186MMar 31, 2023 to Mar 27, 2024
- Assets in custody · $169M to $187MJun 29, 2022 to Mar 31, 2023
- Private funds · 2 to 1Jun 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $169M to $187MJun 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $169M to $187MJun 29, 2022 to Mar 31, 2023
- RAUM · $169M to $187MJun 29, 2022 to Mar 31, 2023
Signals
1 dated events
- L••• P•••••• P••••••• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••• P•••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- L••• P•••••• P••••••• · Private Equityshared crd · organization
- L••• P•••••• P••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- L•••P••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (312) 578-1110reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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