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Former SEC-registered adviser

L• F•••• G•••• L••

Former SEC-registered adviserGarden City, New YorkCRD 174993SEC 801-92167IAPD
Latest filing Aug 3, 2023
First filing on the tape Apr 7, 2015 · 25 filings
RAUM
$276M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
97%
$267M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$276M as of Mar 31, 2023
Mar 24, 2016$185M then
HNW client RAUM$154M as of Mar 31, 2023
Mar 29, 2018$115M then
State-registered IARs (5.B.3)5 as of Mar 31, 2023
Mar 24, 20160 then
Employees (5.A)8 as of Mar 31, 2023
Mar 24, 20164 then
Private funds: no history
RAUM -16% over the last fiscal year+3.5% a year over threeIARs 4 to 5offices 2 to 1
Practice profile
derived from the filing of Aug 3, 2023; every figure names its basis
RAUM per advisor
$55.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$328,137derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$154M56%
  • Individuals$112M41%
  • Charitable organizations$5.1M1.9%
  • Corporations and businesses$3.8M1.4%
Individual clients
444reported
HNW clients
68reported
Pension plan clients
0reported
Charitable clients
5reported
Accounts
840reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• T•••••• D•••• · Managing Principalcontrol
        since 05/2015 · owns less than 5%
      • D•••••• R••••• R• · Managing Principalcontrol
        since 03/2021 · owns less than 5%
      • G•••••• C•••••••• L• · Chief Financial Officercontrol
        since 03/2016 · owns less than 5%
      • L• F••••• J•••••• A•••••• · Managing Principalcontrol
        since 05/2015 · owns less than 5%
      • M••••• J•••• G•••• · Managing Principalcontrol
        since 05/2015 · owns less than 5%
      • N•••••••• L••••• T•••••• · Chief Compliance Officercontrol
        since 06/2023 · owns less than 5%
      Entity owners
      • C•••••• P•••••• W••••• L•• · Owner
        direct · owns 75% or more
      • C• F•••••••• C•••• · Owner
        indirect · owns 75% or more of C•••••• H••••••• I•• · public reporting company
      • C•••••• H••••••• I•• · Owner
        indirect · owns 75% or more of C•••••• P••••••• L••
      • C•••••• P••••••• L•• · Owner
        indirect · owns 75% or more of C•••••• P•••••• W••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Bethesda, MD2 employees
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 31, 2023 to Jun 30, 2023
      • Accounts · 774 to 840
        Mar 31, 2022 to Mar 31, 2023
      • Charity clients · 4 to 5
        Mar 31, 2022 to Mar 31, 2023
      • Corporate clients · 3 to 4
        Mar 31, 2022 to Mar 31, 2023
      • HNW clients · 86 to 68
        Mar 31, 2022 to Mar 31, 2023
      • Individual clients · 397 to 444
        Mar 31, 2022 to Mar 31, 2023
      • State-registered IARs · 4 to 5
        Mar 31, 2022 to Mar 31, 2023
      • Other offices · 2 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $238M to $258M
        Mar 31, 2022 to Mar 31, 2023
      • HNW RAUM · $207M to $154M
        Mar 31, 2022 to Mar 31, 2023
      • Individual RAUM · $113M to $112M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $88.8M to $17.5M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $327M to $276M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 705 to 774
        Jun 25, 2021 to Mar 31, 2022
      • Corporate clients · 2 to 3
        Jun 25, 2021 to Mar 31, 2022
      • HNW clients · 75 to 86
        Jun 25, 2021 to Mar 31, 2022
      • Individual clients · 377 to 397
        Jun 25, 2021 to Mar 31, 2022
      • Pension plan clients · 6 to 0
        Jun 25, 2021 to Mar 31, 2022
      • Employees · 7 to 8
        Jun 25, 2021 to Mar 31, 2022
      • Discretionary RAUM · $206M to $238M
        Jun 25, 2021 to Mar 31, 2022
      • HNW RAUM · $161M to $207M
        Jun 25, 2021 to Mar 31, 2022
      • Individual RAUM · $109M to $113M
        Jun 25, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $90.1M to $88.8M
        Jun 25, 2021 to Mar 31, 2022
      • Pension RAUM · $21.2M to $0
        Jun 25, 2021 to Mar 31, 2022
      • RAUM · $297M to $327M
        Jun 25, 2021 to Mar 31, 2022
      • Accounts · 593 to 705
        Aug 18, 2020 to Mar 31, 2021
      • HNW clients · 62 to 75
        Aug 18, 2020 to Mar 31, 2021
      • Individual clients · 346 to 377
        Aug 18, 2020 to Mar 31, 2021
      • State-registered IARs · 3 to 4
        Aug 18, 2020 to Mar 31, 2021
      • Discretionary RAUM · $179M to $206M
        Aug 18, 2020 to Mar 31, 2021
      • HNW RAUM · $124M to $161M
        Aug 18, 2020 to Mar 31, 2021
      • Individual RAUM · $99.1M to $109M
        Aug 18, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $69.7M to $90.1M
        Aug 18, 2020 to Mar 31, 2021
      • Pension RAUM · $20.6M to $21.2M
        Aug 18, 2020 to Mar 31, 2021
      • RAUM · $248M to $297M
        Aug 18, 2020 to Mar 31, 2021
      • Other offices · 3 to 2
        Jun 9, 2020 to Aug 18, 2020
      • Accounts · 526 to 593
        Nov 20, 2019 to Mar 31, 2020
      • Advisory employees · 4 to 5
        Nov 20, 2019 to Mar 31, 2020
      • Corporate clients · 3 to 2
        Nov 20, 2019 to Mar 31, 2020
      • HNW clients · 54 to 62
        Nov 20, 2019 to Mar 31, 2020
      Signals
      7 dated events
      • J••• G•••• M•••• left L• F•••• G•••• L•• for C•••••• (registered 2023-06-14)
        Aug 3, 2023 · Advisor changed firm · fact
      • T••••• D•••• C•••••••• left L• F•••• G•••• L•• for C•••••• (registered 2023-06-14)
        Aug 3, 2023 · Advisor changed firm · fact
      • R•••• R• D••••• left L• F•••• G•••• L•• for C•••••• (registered 2023-06-14)
        Aug 3, 2023 · Advisor changed firm · fact
      • L• F•••• G•••• L••'s advisors moved to C•••••• (Garden City, NY): 3 of 3 registered, on the same day
        Aug 3, 2023 · Firm absorbed (people side) · derived
      • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of L• F•••• G•••• L••
        Jun 30, 2023 · Control person joined · fact
      • R Regis Dillon (Managing Principal) appeared on Schedule A of L• F•••• G•••• L••
        Mar 31, 2021 · Control person joined · fact
      • A•••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 7, 2015 · 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