DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

L•••••• L•••• C••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 269850SEC 801-101530IAPD

Latest filing Mar 26, 2018

First filing on the tape Jul 14, 2015 · 5 filings

RAUM

$555M

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

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$555M gross assets

History

5 filings and snapshots on the tape

RAUM$555M as of Mar 26, 2018

Mar 24, 2016$296M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2018

Mar 24, 20160 then

Employees (5.A)9 as of Mar 26, 2018

Mar 24, 201610 then

Private funds1 as of Mar 26, 2018

Mar 24, 20161 then

RAUM +0.7% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $185MderivedRAUM 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: +0.7%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 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$555M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
L•••••• L•••• M••••• F••• L•	Hedge Fund	$555M	48	Nov 23, 2015

Owners and control persons

Schedule A and B, latest filing

P•••••••• S••••• Y•••• · Chief Executive Officer / Limited Partnercontrol
since 10/2014 · owns 75% or more
S•••••• T•••••• P•••••• · Chief Financial Officer / Chief Compliance Officercontrol
since 04/2015 · owns 5% to 10%

Related persons

Schedule D 7.A

L•••••• L•••• P••••••• G•• L•••••
investment adviserbankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 5 to 4
Mar 29, 2017 to Mar 26, 2018
Pooled vehicle clients · unset to 3.0
Mar 29, 2017 to Mar 26, 2018
Employees · 10 to 9
Mar 29, 2017 to Mar 26, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Discretionary RAUM · $551M to $555M
Mar 29, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 554901174.0
Mar 29, 2017 to Mar 26, 2018
RAUM · $551M to $555M
Mar 29, 2017 to Mar 26, 2018
Discretionary RAUM · $296M to $551M
Mar 24, 2016 to Mar 29, 2017
RAUM · $296M to $551M
Mar 24, 2016 to Mar 29, 2017
Advisory employees · 4 to 5
Nov 23, 2015 to Mar 24, 2016
Employees · 8 to 10
Nov 23, 2015 to Mar 24, 2016
Discretionary RAUM · $270M to $296M
Nov 23, 2015 to Mar 24, 2016
RAUM · $270M to $296M
Nov 23, 2015 to Mar 24, 2016
Accounts · 0 to 3
Jul 14, 2015 to Nov 23, 2015
Advisory employees · 5 to 4
Jul 14, 2015 to Nov 23, 2015
Assets in custody · unset to 0.0
Jul 14, 2015 to Nov 23, 2015
Custody of client assets · false to true
Jul 14, 2015 to Nov 23, 2015
Employees · 10 to 8
Jul 14, 2015 to Nov 23, 2015
Private funds · unset to 1
Jul 14, 2015 to Nov 23, 2015
Discretionary RAUM · $0 to $270M
Jul 14, 2015 to Nov 23, 2015
RAUM · $0 to $270M
Jul 14, 2015 to Nov 23, 2015
Related bank · false to true
Jul 14, 2015 to Nov 23, 2015

Signals

1 dated events

L•••••• L•••• C••••••• L••• filed its initial SEC registration (Form ADV)
Jul 14, 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