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 adviserDallas, TexasCRD 281723SEC 801-107630IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2016 · 1 filings
RAUM
$68.0M
reported, Item 5.F
Discretionary
0.0%
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
13
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$136M gross assets
History
1 filings and snapshots on the tape
RAUM: $68.0M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 13
Private funds: 10
Practice profile
derived from the filing of Mar 30, 2016; 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
$34.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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•••••• B••••••• C•••••• L••Private Equity Fund$10.8M2Nov 2, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• M••••• V• · Partner, L•••••• C•••••• P•••••••• L• ("Relying Adviser")control
        since 01/2016 · owns 10% to 25%
      • H•••••• C••••••••• J•••• · Chief Financial Officer & Chief Compliance Officer, L•••••• Asset Management, LP & L•••••• C•••••• P•••••••• L•control
        since 08/2014 · owns less than 5%
      • M•••••••• L••••••• A••• · President & Partner, L•••••• C•••••• P•••••••• L• ("Relying Adviser")control
        since 08/2014 · owns 50% to 75%
      • S••••••• T•••••• A••• · Partner, L•••••• C•••••• P•••••••• L• ("Relying Adviser")control
        since 01/2016 · owns 10% to 25%
      • S••••••••• W••••••• S• · Managing Director, L•••••• Asset Management, LPcontrol
        since 08/2014 · owns less than 5%
      • M•••••••• L••••••• A••• · Managing Member, L•••••• A•••• M••••••••• G•• L••control
        since 08/2014 · owns 75% or more of L•••••• Asset Mangement Gp, LLC
      • M•••••••• L••••••• A••• · Managing Member, L•• I••••••••• C••• L••control
        since 05/2014 · owns 75% or more of L•• I••••••••• C••• L••
      • M•••••••• L••••••• A••• · Member, L•••• L••control
        since 01/2016 · owns 50% to 75% of L•••• L••
      • M•••••••• L••••••• A••• · Managing Member, L•••••• G•• L••control
        since 02/2014 · owns 75% or more of L•••••• G•• L••
      Entity owners
      • L•••••• A•••• M••••••••• G•• L•• · General Partner, L•••••• A•••• M••••••••• L•••
        direct · owns less than 5%
      • L•••••• G•• L•• · General Partner, L•••••• C•••••• P•••••••• L• ("Relying Adviser")
        direct · owns 75% or more
      • L•••••• M••••••••• H•••••••• L• · Limited Partner, L•••••• A•••• M••••••••• L•••
        direct · owns 75% or more
      • L•••• L•• · Managing Member, L•• I• G•• L•• ("Relying Adviser")
        direct · owns 75% or more
      • L•• I••••••••• C••• L•• · Limited Partner, L•••••• M••••••••• H•••••••• L•
        indirect · owns 75% or more of L•••••• M••••••••• H•••••••• L•
      • L•••••• A•••• M••••••••• G•• L•• · General Partner, L•••••• M••••••••• H•••••••• L•
        indirect · owns F of L•••••• M••••••••• H•••••••• L•
      Related persons
      Schedule D 7.A
      • B••••••• I••••••••• C••• L••
        pooled vehicle sponsorn
      • L•••••• C•••••• P•••••••• L•
        investment advisern
      • L•• I• G•• L••
        pooled vehicle sponsorn
      • T•• S•••••••• H•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Bloomington, MN
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • L•••••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Mar 30, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      L•••••• A•••• M••••••••• L••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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