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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SEC-registered adviser
L•• H•••••• C•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 26, 2019 · 15 filings
SEC status approved since Jul 26, 2019
RAUM
$200M
reported, Item 5.F
Discretionary
100%
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$200M as of Mar 30, 2026
Mar 26, 2020$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20200 then
Employees (5.A)5 as of Mar 30, 2026
Mar 26, 20208 then
Private funds2 as of Mar 30, 2026
Mar 26, 20202 then
RAUM -20% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $99.8MderivedRAUM 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
- -20%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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $200M, 2 clientsreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$200M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• I••••••••• I• L•• | Private Equity Fund | $269M | 43 | Dec 1, 2015 |
| L•• I••••••••• I• L•• | Private Equity Fund | $34.8M | 22 | Jun 26, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••• E•••••• · Co-F••••••controlsince 06/2015 · owns less than 5%
- L••••••• M••••••• F•••••• · Co-F••••••controlsince 06/2015 · owns less than 5%
- S••••• T•••• G•••••••• · Chief Financial Officercontrolsince 10/2015 · owns less than 5%
- B••••• S••••• E•••••• · Membercontrolsince 06/2015 · owns 25% to 50% of L•• F•••••• H••••••• L••
- L••••••• M••••••• F•••••• · Membercontrolsince 04/2016 · owns 50% to 75% of L•••••• I••••••••• L••
- L••••••• M••••••• F•••••• · Grantorcontrolsince 04/2016 · owns 50% to 75% of A•••••• I• F••••• T••••
- A•••••• S•••••••• H•••••••• · Chief Compliance Officersince 06/2022 · owns less than 5%
Entity owners
- L•• F•••••• H••••••• L•• · Memberdirect · owns 75% or more
- A•••••• I• F••••• T•••• · Memberindirect · owns 50% to 75% of L•••••• I••••••••• L••
- L•••••• I••••••••• L•• · Memberindirect · owns 50% to 75% of L•• F•••••• H••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $250M to $200MMar 21, 2025 to Mar 30, 2026
- HQ city · NEW YORK to NORWALKMar 21, 2025 to Mar 30, 2026
- HQ state · NY to CTMar 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $250M to $200MMar 21, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $250M to $200MMar 21, 2025 to Mar 30, 2026
- RAUM · $250M to $200MMar 21, 2025 to Mar 30, 2026
- Assets in custody · $303M to $250MMar 22, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $303M to $250MMar 22, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $303M to $250MMar 22, 2024 to Mar 21, 2025
- RAUM · $303M to $250MMar 22, 2024 to Mar 21, 2025
- Advisory employees · 5 to 4Jul 11, 2023 to Mar 22, 2024
- Assets in custody · $408M to $303MJul 11, 2023 to Mar 22, 2024
- Employees · 6 to 5Jul 11, 2023 to Mar 22, 2024
- Discretionary RAUM · $408M to $303MJul 11, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $408M to $303MJul 11, 2023 to Mar 22, 2024
- RAUM · $408M to $303MJul 11, 2023 to Mar 22, 2024
- Business name · L••••••••• H••••••• L•• to L•• H•••••• C•••••• L••Mar 10, 2023 to Apr 29, 2023
- Assets in custody · $412M to $408MMar 10, 2023 to Apr 29, 2023
- Discretionary RAUM · $412M to $408MMar 10, 2023 to Apr 29, 2023
- Pooled vehicle RAUM · $412M to $408MMar 10, 2023 to Apr 29, 2023
- RAUM · $412M to $408MMar 10, 2023 to Apr 29, 2023
- Assets in custody · $480M to $412MJul 15, 2022 to Mar 10, 2023
- Employees · 7 to 6Jul 15, 2022 to Mar 10, 2023
- Discretionary RAUM · $480M to $412MJul 15, 2022 to Mar 10, 2023
- Pooled vehicle RAUM · $480M to $412MJul 15, 2022 to Mar 10, 2023
- RAUM · $480M to $412MJul 15, 2022 to Mar 10, 2023
- Legal name · L••••••••• H••••••• L•• to L•• H•••••• C•••••• L••Jun 14, 2022 to Jun 21, 2022
- Advisory employees · 6 to 5Mar 29, 2021 to Mar 15, 2022
- Assets in custody · $324M to $480MMar 29, 2021 to Mar 15, 2022
- Employees · 8 to 7Mar 29, 2021 to Mar 15, 2022
- Discretionary RAUM · $324M to $480MMar 29, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $324M to $480MMar 29, 2021 to Mar 15, 2022
- RAUM · $324M to $480MMar 29, 2021 to Mar 15, 2022
- Assets in custody · $87.0M to $324MMar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $215M to $324MMar 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $215M to $324MMar 26, 2020 to Mar 29, 2021
- RAUM · $215M to $324MMar 26, 2020 to Mar 29, 2021
- Private funds · 4 to 2Jun 26, 2019 to Jul 17, 2019
Signals
6 dated events
- L•• H•••••• C•••••• L•• reported RAUM $303.4M, down 26% from $408.4M (2023-07-11 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- P Peter Galloway (Chief Compliance Officer) no longer on Schedule A of L•• H•••••• C•••••• L•• (listed 2022-06-14, absent 2022-06-21)Jun 21, 2022 · Control person left · inference
- L•• H•••••• C•••••• L•• reported RAUM $480.4M, up 48% from $324.4M (2021-03-29 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- L•• H•••••• C•••••• L•• reported RAUM $324.4M, up 51% from $214.5M (2020-03-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- P Peter Galloway (Chief Compliance Officer) appeared on Schedule A of L•• H•••••• C•••••• L••Jul 17, 2019 · Control person joined · fact
- L••••••••• H••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•• H•••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- L•• H•••••• C•••••• L•• · Private Equityshared crd · organization
- L•• H•••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- LBB-I•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-299-3220reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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