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••• E••••• I••••••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jun 9, 2023 · 6 filings
SEC status approved since Jul 10, 2023
RAUM
$173M
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
12
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$173M as of Mar 11, 2026
Mar 27, 2024$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 27, 20240 then
Employees (5.A)12 as of Mar 11, 2026
Mar 27, 20249 then
Private funds3 as of Mar 11, 2026
Mar 27, 20244 then
RAUM -13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 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
- $57.8MderivedRAUM 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
- -13%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
- 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
- Pooled investment vehicles$173M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• E••••• H••••••• I•• L•• | Private Equity Fund | $114M | 58 | Mar 29, 2019 |
| L••• E••••• F••• I••• L• | Private Equity Fund | $78.7M | 43 | Mar 30, 2023 |
| L••• F••• I••••• L• | Private Equity Fund | $29.2M | 2 | Mar 27, 2024 |
| L••• E••••• H•••••••• L•• | Private Equity Fund | $437,658 | 56 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• E• J•••• · Co-Founder And Partnercontrolsince 04/2007 · owns less than 5%
- S••••••••• A••• J• · Chief Compliance Officer, Co-Founder And Partnercontrolsince 04/2007 · owns less than 5%
- L••••••• E• J•••• · Manager And Membercontrolsince 04/2007 · owns 50% to 75% of L••• E••••• P•••••••• L••
- S••••••••• A••• J• · Manager And Membercontrolsince 04/2007 · owns 50% to 75% of L••• E••••• P•••••••• L••
Entity owners
- L••• E••••• P•••••••• L•• · Sole Member And Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••• E••••• M••••••••• I•• L••pooled vehicle sponsorn
- L••• E••••• M••••••••• I••• L••pooled vehicle sponsorn
- L••• E••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 11 to 12Mar 17, 2025 to Mar 11, 2026
- Employees · 11 to 12Mar 17, 2025 to Mar 11, 2026
- Discretionary RAUM · $200M to $173MMar 17, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $200M to $173MMar 17, 2025 to Mar 11, 2026
- RAUM · $200M to $173MMar 17, 2025 to Mar 11, 2026
- Accounts · 4 to 3Aug 30, 2024 to Mar 17, 2025
- Advisory employees · 9 to 11Aug 30, 2024 to Mar 17, 2025
- Pooled vehicle clients · 4 to 3Aug 30, 2024 to Mar 17, 2025
- Employees · 9 to 11Aug 30, 2024 to Mar 17, 2025
- Financial planning clients · unset to Aug 30, 2024 to Mar 17, 2025
- Private funds · 4 to 3Aug 30, 2024 to Mar 17, 2025
- Discretionary RAUM · $222M to $200MAug 30, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $222M to $200MAug 30, 2024 to Mar 17, 2025
- RAUM · $222M to $200MAug 30, 2024 to Mar 17, 2025
- Discretionary RAUM · $218M to $222MMar 27, 2024 to May 1, 2024
- Pooled vehicle RAUM · $218M to $222MMar 27, 2024 to May 1, 2024
- RAUM · $218M to $222MMar 27, 2024 to May 1, 2024
- Accounts · 3 to 4Jun 9, 2023 to Mar 27, 2024
- Advisory employees · 11 to 9Jun 9, 2023 to Mar 27, 2024
- Pooled vehicle clients · 3 to 4Jun 9, 2023 to Mar 27, 2024
- Assets in custody · 0.0 to unsetJun 9, 2023 to Mar 27, 2024
- Custody of client assets · true to falseJun 9, 2023 to Mar 27, 2024
- Employees · 11 to 9Jun 9, 2023 to Mar 27, 2024
- Other offices · 1 to 0Jun 9, 2023 to Mar 27, 2024
- Private funds · 6 to 4Jun 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $158M to $218MJun 9, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $158M to $218MJun 9, 2023 to Mar 27, 2024
- RAUM · $158M to $218MJun 9, 2023 to Mar 27, 2024
Signals
1 dated events
- L••• E••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 9, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••• E••••• I••••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L••• E••••• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
- L••• E••••• I••••••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- L•••EQUITY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-847-4100reportedpublic record, Form ADV, Mar 11, 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