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Former SEC-registered adviser

L•••• C•••••• M••••••••• L•

Former SEC-registered adviserSan Francisco, CaliforniaCRD 284597SEC 801-108192IAPD
Latest filing Oct 30, 2019
First filing on the tape Jul 21, 2016 · 10 filings
RAUM
$756M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$75.7M gross assets
History
10 filings and snapshots on the tape
RAUM$756M as of Mar 29, 2019
Mar 27, 2017$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 27, 20170 then
Employees (5.A)6 as of Mar 29, 2019
Mar 27, 20175 then
Private funds1 as of Mar 29, 2019
Mar 27, 20171 then
RAUM +75% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 30, 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
$151MderivedRAUM 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
+75%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
Custody
$75.7M, 1 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$756M100%
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
$75.7M for 1 clientsreported
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•••• C•••••• P••••••• L•Hedge Fund$75.7M16Dec 21, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• M••••••• A••••• · Partner, Chief Investment Officer / Portfolio Managercontrol
        since 04/2016 · owns 50% to 75%
      • H•••••• S••••• J• · Cfo, Cco And Coocontrol
        since 10/2019 · owns less than 5%
      • D••••• M••••••• A••••• · Managercontrol
        since 06/2016 · owns 75% or more of L•••• C•••••• H••••••• L••
      • D••••••••• W••••••• C•••••••• · Partner, Analyst
        since 04/2016 · owns 25% to 50%
      • S••••••• C•••• J• · Partner, Analyst
        since 07/2016 · owns 10% to 25%
      Entity owners
      • L•••• C•••••• H••••••• L•• · General Partner
        direct · owns less than 5%
      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 · $16.0M to $75.7M
        May 30, 2018 to Mar 29, 2019
      • Employees · 4 to 6
        May 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $433M to $756M
        May 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $433M to $756M
        May 30, 2018 to Mar 29, 2019
      • RAUM · $433M to $756M
        May 30, 2018 to Mar 29, 2019
      • Accounts · 4 to 5
        Sep 12, 2017 to Mar 30, 2018
      • Advisory employees · 1 to 3
        Sep 12, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 1
        Sep 12, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 5.0
        Sep 12, 2017 to Mar 30, 2018
      • Assets in custody · $8.9M to $16.0M
        Sep 12, 2017 to Mar 30, 2018
      • Employees · 5 to 4
        Sep 12, 2017 to Mar 30, 2018
      • Financial planning clients · 0 to unset
        Sep 12, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 12, 2017 to Mar 30, 2018
      • Discretionary RAUM · $173M to $433M
        Sep 12, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 432576127.0
        Sep 12, 2017 to Mar 30, 2018
      • RAUM · $173M to $433M
        Sep 12, 2017 to Mar 30, 2018
      • Employees · 2 to 5
        Dec 21, 2016 to Mar 27, 2017
      • Discretionary RAUM · $177M to $173M
        Dec 21, 2016 to Mar 27, 2017
      • RAUM · $177M to $173M
        Dec 21, 2016 to Mar 27, 2017
      • Accounts · unset to 4.0
        Aug 19, 2016 to Dec 21, 2016
      • Assets in custody · unset to 8850119.0
        Aug 19, 2016 to Dec 21, 2016
      • Custody of client assets · false to true
        Aug 19, 2016 to Dec 21, 2016
      • Financial planning clients · unset to 0
        Aug 19, 2016 to Dec 21, 2016
      • Private funds · unset to 1
        Aug 19, 2016 to Dec 21, 2016
      • Discretionary RAUM · unset to 177492729.0
        Aug 19, 2016 to Dec 21, 2016
      • Non-discretionary RAUM · unset to 0.0
        Aug 19, 2016 to Dec 21, 2016
      • RAUM · unset to 177492729.0
        Aug 19, 2016 to Dec 21, 2016
      Signals
      5 dated events
      • James Charles Daly (Chief Compliance Officer) no longer on Schedule A of L•••• C•••••• M••••••••• L• (listed 2019-03-29, absent 2019-10-30)
        Oct 30, 2019 · Control person left · inference
      • L•••• C•••••• M••••••••• L• reported RAUM $755.6M, up 75% from $432.6M (2018-05-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • J Sarah Haynes (Cfo And Coo) appeared on Schedule A of L•••• C•••••• M••••••••• L•
        Mar 29, 2019 · Control person joined · fact
      • L•••• C•••••• M••••••••• L• reported RAUM $432.6M, up 150% from $173.1M (2017-09-12 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • L•••• C•••••• 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