DFX Intelligence

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Former SEC-registered adviser

A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 264794SEC 801-105470IAPD

Latest filing Mar 27, 2024

First filing on the tape Jul 23, 2015 · 17 filings

SEC status approved since Aug 10, 2015

RAUM

$106M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$106M as of Mar 27, 2024

Mar 24, 2016$378M then

HNW client RAUM: $201M

State-registered IARs (5.B.3)0 as of Mar 27, 2024

Mar 24, 20160 then

Employees (5.A)3 as of Mar 27, 2024

Mar 24, 20163 then

Private funds: no history

RAUM -56% over the last fiscal year-25% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2024; 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: $106MderivedRAUM 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: -56%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 feesreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$106M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: n/areported
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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• J•••••• M••• · Chief Compliance Officercontrol
since 10/2019 · owns less than 5%
R••••••••• T•••••• A• · Directorcontrol
since 05/2019 · owns 75% or more of R• U• H••••• L••••••

Entity owners

L••••••• D• N••••••• • C•• I••••••••• · Managing Member
direct · owns 75% or more
L•••••• C••••••••• F••••••••• · Shareholder
indirect · owns 75% or more of L•••••• G•••• L•••
L•••••• G•••• L••• · Shareholder
indirect · owns 25% to 50% of L••••••• D• N••••••• • C•• I•••••••••
R• U• H••••• L•••••• · Stockholder
indirect · owns 50% to 75% of L••••••• D• N••••••• • C•• I•••••••••

Related persons

Schedule D 7.A

L•••••• D• N••••••• A•••• M••••••••• L••
investment advisernRAUM $764M

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 8 to 1
Mar 21, 2023 to Mar 27, 2024
BD registered reps · 1 to 0
Mar 21, 2023 to Mar 27, 2024
Charity clients · 3.0 to unset
Mar 21, 2023 to Mar 27, 2024
Corporate clients · 5 to 1
Mar 21, 2023 to Mar 27, 2024
Discretionary RAUM · $241M to $106M
Mar 21, 2023 to Mar 27, 2024
RAUM · $241M to $106M
Mar 21, 2023 to Mar 27, 2024
Accounts · 9 to 8
Mar 24, 2022 to Mar 21, 2023
Corporate clients · 6 to 5
Mar 24, 2022 to Mar 21, 2023
Discretionary RAUM · $320M to $241M
Mar 24, 2022 to Mar 21, 2023
RAUM · $320M to $241M
Mar 24, 2022 to Mar 21, 2023
Discretionary RAUM · $254M to $320M
Mar 23, 2021 to Mar 24, 2022
RAUM · $254M to $320M
Mar 23, 2021 to Mar 24, 2022
Charity clients · unset to 3.0
Jun 26, 2020 to Mar 23, 2021
Discretionary RAUM · $252M to $254M
Jun 26, 2020 to Mar 23, 2021
RAUM · $252M to $254M
Jun 26, 2020 to Mar 23, 2021
Accounts · 11 to 9
Mar 30, 2020 to Jun 26, 2020
Discretionary RAUM · $253M to $252M
Mar 30, 2020 to Jun 26, 2020
Individual RAUM · 633966.0 to unset
Mar 30, 2020 to Jun 26, 2020
RAUM · $253M to $252M
Mar 30, 2020 to Jun 26, 2020
Accounts · 13 to 11
Oct 16, 2019 to Mar 30, 2020
Advisory activities · 3 to 1
Oct 16, 2019 to Mar 30, 2020
Charity clients · 3.0 to unset
Oct 16, 2019 to Mar 30, 2020
HNW clients · 2.0 to unset
Oct 16, 2019 to Mar 30, 2020
Individual clients · 2.0 to unset
Oct 16, 2019 to Mar 30, 2020
Pension plan clients · 0.0 to unset
Oct 16, 2019 to Mar 30, 2020
Pooled vehicle clients · 0.0 to unset
Oct 16, 2019 to Mar 30, 2020
Other offices · 1 to 0
Oct 16, 2019 to Mar 30, 2020
Discretionary RAUM · $206M to $253M
Oct 16, 2019 to Mar 30, 2020
HNW RAUM · 200787430.0 to unset
Oct 16, 2019 to Mar 30, 2020
Individual RAUM · $494,975 to $633,966
Oct 16, 2019 to Mar 30, 2020
Non-discretionary RAUM · $201M to $0
Oct 16, 2019 to Mar 30, 2020
RAUM · $407M to $253M
Oct 16, 2019 to Mar 30, 2020
Accounts · 14 to 13
Mar 23, 2018 to Mar 28, 2019
Corporate clients · 7 to 6
Mar 23, 2018 to Mar 28, 2019
HNW clients · 0 to 2
Mar 23, 2018 to Mar 28, 2019
Individual clients · 4 to 2
Mar 23, 2018 to Mar 28, 2019
Discretionary RAUM · $227M to $206M
Mar 23, 2018 to Mar 28, 2019
HNW RAUM · unset to 200787430.0
Mar 23, 2018 to Mar 28, 2019
Individual RAUM · $198M to $494,975
Mar 23, 2018 to Mar 28, 2019
Non-discretionary RAUM · $197M to $201M
Mar 23, 2018 to Mar 28, 2019

Signals

9 dated events

A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $106.5M)
May 2, 2025 · Left the SEC roster · derived
A••••••• L•• reported RAUM $106.5M, down 56% from $240.9M (2023-03-21 to 2024-03-27)
Mar 27, 2024 · RAUM change · derived
A••••••• L•• reported RAUM $252.8M, down 38% from $407.1M (2019-10-16 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
(Nmn) Francois Letaconnoux (President / Chief Compliance Officer) no longer on Schedule A of A••••••• L•• (listed 2019-07-01, absent 2019-10-16)
Oct 16, 2019 · Control person left · inference
Marc Joshua Fremed (Chief Compliance Officer) appeared on Schedule A of A••••••• L••
Oct 16, 2019 · Control person joined · fact
A. Thomas Riboud-Seydoux (Director) appeared on Schedule A of A••••••• L••
Jul 1, 2019 · Control person joined · fact
Raffel Nicole Dassault (Shareholder) no longer on Schedule A of A••••••• L•• (listed 2018-03-23, absent 2019-03-28)
Mar 28, 2019 · Control person left · inference
(Nmn) Serge Dassault (Shareholder) no longer on Schedule A of A••••••• L•• (listed 2018-03-23, absent 2019-03-28)
Mar 28, 2019 · Control person left · inference
A••••••• L•• filed its initial SEC registration (Form ADV)
Jul 23, 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