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•••• A•••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 226645SEC 801-100370IAPD
Latest filing Mar 27, 2018
First filing on the tape Jun 5, 2015 · 9 filings
RAUM
$343M
reported, Item 5.F
Discretionary
78%
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$18.9M gross assets
History
9 filings and snapshots on the tape
RAUM$343M as of Mar 27, 2018
Mar 30, 2016$285M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 30, 20160 then
Employees (5.A)9 as of Mar 27, 2018
Mar 30, 20169 then
Private funds1 as of Mar 27, 2018
Mar 30, 20171 then
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; 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
$114MderivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
72%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
+11%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • Insurance companies$248M72%
  • Other investment advisers$76.2M22%
  • Pooled investment vehicles$18.9M5.5%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• A•••• M••••••••• M••••• F••• L•••Hedge Fund$18.9M9Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• S•••••• K•••••• · Portfolio Manager / Limited Partnercontrol
        since 01/2015 · owns 75% or more
      • L••••••• M••••••• J•••• · Cfo/Coo/Ccocontrol
        since 05/2016 · owns less than 5%
      • G•••••• S•••••• K•••••• · Membercontrol
        since 01/2015 · owns 75% or more of L•••• A•••• M••••••••• G• L••
      Entity owners
      • L•••• A•••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list L•••• A•••• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 8 to 9
        Mar 2, 2018 to Mar 27, 2018
      • Discretionary RAUM · $270M to $266M
        Mar 2, 2018 to Mar 27, 2018
      • Non-discretionary RAUM · $74.6M to $76.2M
        Mar 2, 2018 to Mar 27, 2018
      • Pooled vehicle RAUM · $19.3M to $18.9M
        Mar 2, 2018 to Mar 27, 2018
      • RAUM · $344M to $343M
        Mar 2, 2018 to Mar 27, 2018
      • Advisory employees · 6 to 5
        Mar 30, 2017 to Jan 8, 2018
      • Advisory activities · 1 to 2
        Mar 30, 2017 to Jan 8, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2017 to Jan 8, 2018
      • Employees · 9 to 8
        Mar 30, 2017 to Jan 8, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Discretionary RAUM · $240M to $270M
        Mar 30, 2017 to Jan 8, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Non-discretionary RAUM · $69.7M to $74.6M
        Mar 30, 2017 to Jan 8, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Jan 8, 2018
      • Pooled vehicle RAUM · unset to 19288173.0
        Mar 30, 2017 to Jan 8, 2018
      • RAUM · $310M to $344M
        Mar 30, 2017 to Jan 8, 2018
      • Accounts · 2 to 3
        Jun 28, 2016 to Mar 30, 2017
      • Assets in custody · unset to 0.0
        Jun 28, 2016 to Mar 30, 2017
      • Custody of client assets · false to true
        Jun 28, 2016 to Mar 30, 2017
      • Private funds · unset to 1
        Jun 28, 2016 to Mar 30, 2017
      • Discretionary RAUM · $183M to $240M
        Jun 28, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $102M to $69.7M
        Jun 28, 2016 to Mar 30, 2017
      • RAUM · $285M to $310M
        Jun 28, 2016 to Mar 30, 2017
      • Related adviser · true to false
        Jun 28, 2016 to Mar 30, 2017
      • Discretionary RAUM · $217M to $183M
        Oct 9, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $116M to $102M
        Oct 9, 2015 to Mar 30, 2016
      • RAUM · $333M to $285M
        Oct 9, 2015 to Mar 30, 2016
      • Accounts · 0 to 2
        Jul 24, 2015 to Oct 9, 2015
      • Advisory employees · 2 to 6
        Jul 24, 2015 to Oct 9, 2015
      • Advisory activities · 2 to 1
        Jul 24, 2015 to Oct 9, 2015
      • Employees · 3 to 9
        Jul 24, 2015 to Oct 9, 2015
      • Discretionary RAUM · $0 to $217M
        Jul 24, 2015 to Oct 9, 2015
      • Non-discretionary RAUM · $0 to $116M
        Jul 24, 2015 to Oct 9, 2015
      • RAUM · $0 to $333M
        Jul 24, 2015 to Oct 9, 2015
      Signals
      1 dated events
      • L•••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 5, 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