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•••••• T••••••••• P•••••••

Former SEC-registered adviserBoston, MassachusettsCRD 283215SEC 801-107631IAPD
Legal name L•••••• T••••••••• P••••••• L••
Latest filing Mar 30, 2020
First filing on the tape Mar 30, 2016 · 10 filings
RAUM
$355M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$254M gross assets
History
10 filings and snapshots on the tape
RAUM$355M as of Mar 30, 2020
Mar 30, 2017$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20170 then
Employees (5.A)8 as of Mar 30, 2020
Mar 30, 201715 then
Private funds3 as of Mar 30, 2020
Mar 30, 20173 then
RAUM +9.6% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$71.1MderivedRAUM 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
+9.6%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, otherreportedItem 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$355M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••••• T••••••••• F••• I• L•••Private Equity Fund$242M53May 27, 2016
      M••••••••• I••••••••• C••••••• F••• I• L•••Private Equity Fund$12.1M20May 27, 2016
      L•••••• T••••••••• I•••••••• I• L•••no longer reportedPrivate Equity Fund$3.5M3Mar 30, 2017
      L•••••• T••••••••• P••••••• S•••••••• F••• L•••Private Equity Fund$500,0001Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• T•••• C• · Managing Partnercontrol
        since 11/2015 · owns less than 5%
      • H•••••••• S•••••• P• · General Counselcontrol
        since 03/2019 · owns less than 5%
      • K••••••••• J••••• A••• · Managing Partnercontrol
        since 03/2016 · owns less than 5%
      • L••••••• J••••••• A••• · Managing Partnercontrol
        since 11/2015 · owns less than 5%
      • S•••••• E••••••••• A•• · Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      Entity owners
      • L•••••• K••••• C•••••• P••••••• L•• · Member
        direct · owns 75% or more
      • K••••• ••• L••• · Member
        indirect · owns 25% to 50% of L•••••• K••••• C•••••• P••••••• L••
      • K••••• A• · Member
        indirect · owns 75% or more of K••••• (US) Ltd
      • S•• F•••••••• G•••• · Member
        indirect · owns 75% or more of S•• L•••••• H••••••• L•• · public reporting company
      • S•• L•••••• C•••••• L•• · Member
        indirect · owns 25% to 50% of L•••••• K••••• C•••••• P••••••• L••
      • S•• L•••••• H••••••• L•• · Member
        indirect · owns 75% or more of L•••••• K••••• C•••••• P••••••• L••
      Related persons
      Schedule D 7.A
      • G••• H••• V•••••• L•••••• P••••••• 0•• L••
        pooled vehicle sponsorn
      • L•••••• T••••••••• F••• I• G• L•••
        investment adviserpooled vehicle sponsorn
      • L•••••• T••••••••• F••• I• G• L••
        investment adviserpooled vehicle sponsorn
      • S•••••• V••••• B••••••••• I•••
        pooled vehicle sponsorn
      • S•••••• V••••• B•••
        custodiann
      • S•• S•••••• V••••• B••• C••• L••
        n
      • S••••• E•••••••• P•••••••• L••
        pooled vehicle sponsorn
      • S•• A•••• M•••••••••
        investment advisernRAUM $32B
      • S•• C•••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • S•• C•••••• P••••••• I••
        pooled vehicle sponsorn
      • S•• C•••••• P••••••• I• L••
        pooled vehicle sponsorn
      • S•• C•••••• V•••••• O••••••
        pooled vehicle sponsorn
      • S•• F•••••••• G••••
        y
      • S•• G••••• I••••••••• L••
        pooled vehicle sponsorn
      • L•••••• Swann LLC
        broker-dealernRAUM $50.5M
      • S•• S•••••••• I•••••••• I•• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• I••• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• I•• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• I•• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• V• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• V•• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• V••• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• V•••• L••
        pooled vehicle sponsorn
      • S•• S•••••••• I•••••••• X• L••
        pooled vehicle sponsorn
      • S•• V•••••• C•••••• I••••••••• M••••••••• ••••••••• C• L••
        pooled vehicle sponsorn
      • Svb Investment Services Inc.
        investment advisernRAUM $1.5B
      • V•••• I•••••••• S•••••••• L••
        real estaten
      • V•••• I••••••••• L••
        real estaten
      • V•••• R••• M••••••••• S•••••••• L••
        real estaten
      Advisers that list L•••••• T••••••••• P••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $322M to $355M
        Jul 18, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $322M to $355M
        Jul 18, 2019 to Mar 30, 2020
      • RAUM · $322M to $355M
        Jul 18, 2019 to Mar 30, 2020
      • Advisory employees · 7 to 6
        Mar 29, 2019 to Jul 18, 2019
      • BD registered reps · 2 to 0
        Mar 29, 2019 to Jul 18, 2019
      • Employees · 15 to 8
        Mar 29, 2019 to Jul 18, 2019
      • Discretionary RAUM · $324M to $322M
        Mar 29, 2019 to Jul 18, 2019
      • Pooled vehicle RAUM · $324M to $322M
        Mar 29, 2019 to Jul 18, 2019
      • RAUM · $324M to $322M
        Mar 29, 2019 to Jul 18, 2019
      • BD registered reps · 3 to 2
        Jan 31, 2019 to Mar 29, 2019
      • Employees · 18 to 15
        Jan 31, 2019 to Mar 29, 2019
      • Discretionary RAUM · $314M to $324M
        Jan 31, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $314M to $324M
        Jan 31, 2019 to Mar 29, 2019
      • RAUM · $314M to $324M
        Jan 31, 2019 to Mar 29, 2019
      • Accounts · 4 to 5
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 7
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 15 to 18
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $132M to $314M
        Mar 30, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $65.4M to $0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 314202226.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $197M to $314M
        Mar 30, 2017 to Mar 29, 2018
      • Private funds · 2 to 3
        Jun 16, 2016 to Mar 30, 2017
      • Accounts · 3 to 4
        Jun 16, 2016 to Mar 30, 2017
      • Advisory employees · 2 to 5
        Jun 16, 2016 to Mar 30, 2017
      • Assets in custody · $97.0M to $0
        Jun 16, 2016 to Mar 30, 2017
      • Employees · 14 to 15
        Jun 16, 2016 to Mar 30, 2017
      • Discretionary RAUM · $97.0M to $132M
        Jun 16, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $72.5M to $65.4M
        Jun 16, 2016 to Mar 30, 2017
      • RAUM · $170M to $197M
        Jun 16, 2016 to Mar 30, 2017
      • Accounts · unset to 3.0
        Apr 29, 2016 to May 27, 2016
      • Assets in custody · unset to 97050000.0
        Apr 29, 2016 to May 27, 2016
      • Custody of client assets · false to true
        Apr 29, 2016 to May 27, 2016
      • Private funds · unset to 2
        Apr 29, 2016 to May 27, 2016
      • Discretionary RAUM · unset to 97050000.0
        Apr 29, 2016 to May 27, 2016
      • Non-discretionary RAUM · unset to 72490588.0
        Apr 29, 2016 to May 27, 2016
      • RAUM · unset to 169540588.0
        Apr 29, 2016 to May 27, 2016
      Signals
      5 dated events
      • Michael Kevin Brown (Chief Financial Officer) no longer on Schedule A of L•••••• T••••••••• P••••••• (listed 2019-03-29, absent 2019-07-18)
        Jul 18, 2019 · Control person left · inference
      • P Steven Heineman (General Counsel) appeared on Schedule A of L•••••• T••••••••• P•••••••
        Mar 29, 2019 · Control person joined · fact
      • Albert George Timothy Gerhold (General Counsel) no longer on Schedule A of L•••••• T••••••••• P••••••• (listed 2019-01-31, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • L•••••• T••••••••• P••••••• reported RAUM $314.2M, up 60% from $196.9M (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • L•••••• T••••••••• P••••••• 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