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
T•••• F••••• M••••••••• L••
Latest filing Mar 15, 2019
First filing on the tape Jul 21, 2016 · 8 filings
RAUM
$32.8M
reported, Item 5.F
Discretionary
97%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$30.7M gross assets
History
8 filings and snapshots on the tape
RAUM$32.8M as of Mar 15, 2019
Mar 28, 2017$50.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2019
Mar 28, 20170 then
Employees (5.A)1 as of Mar 15, 2019
Mar 28, 20171 then
Private funds1 as of Mar 15, 2019
Mar 28, 20171 then
RAUM -30% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2019; 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
- $8.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- -30%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, subscription, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$30.7M97%
- Corporations and businesses$1.1M3.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• M••••••• E••• · Ceo, Cio, Cco, Managing Membercontrolsince 11/2012 · owns 75% or more
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
- Advisory activities · 4 to 5Mar 27, 2018 to Mar 15, 2019
- Discretionary RAUM · $45.5M to $31.8MMar 27, 2018 to Mar 15, 2019
- Non-discretionary RAUM · $1.4M to $1.0MMar 27, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $44.2M to $30.7MMar 27, 2018 to Mar 15, 2019
- RAUM · $46.9M to $32.8MMar 27, 2018 to Mar 15, 2019
- Discretionary RAUM · $43.9M to $45.5MNov 9, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $1.4M to $1.4MNov 9, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · $42.6M to $44.2MNov 9, 2017 to Mar 27, 2018
- RAUM · $45.3M to $46.9MNov 9, 2017 to Mar 27, 2018
- Corporate clients · unset to 1.0Jun 21, 2017 to Nov 9, 2017
- Pooled vehicle clients · unset to 1.0Jun 21, 2017 to Nov 9, 2017
- Other offices · unset to 0.0Jun 21, 2017 to Nov 9, 2017
- Discretionary RAUM · $45.6M to $43.9MJun 21, 2017 to Nov 9, 2017
- Non-discretionary RAUM · $5.0M to $1.4MJun 21, 2017 to Nov 9, 2017
- Pooled vehicle RAUM · unset to 42641505.0Jun 21, 2017 to Nov 9, 2017
- RAUM · $50.6M to $45.3MJun 21, 2017 to Nov 9, 2017
- HQ city · BOCA RATON to unsetJul 26, 2016 to Mar 28, 2017
- HQ state · FL to unsetJul 26, 2016 to Mar 28, 2017
- Discretionary RAUM · $40.0M to $45.6MJul 26, 2016 to Mar 28, 2017
- Non-discretionary RAUM · $0 to $5.0MJul 26, 2016 to Mar 28, 2017
- RAUM · $40.0M to $50.6MJul 26, 2016 to Mar 28, 2017
Signals
1 dated events
- T•••• F••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 21, 2016 · 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