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••• P•••• A•••••••
Legal name L••• P•••• A•••••••• L•••••
Latest filing Nov 20, 2017
First filing on the tape Aug 25, 2017 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
17
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Nov 20, 2017
Aug 25, 2017$0 then
HNW client RAUM$0 as of Nov 20, 2017
Nov 17, 2017$0 then
State-registered IARs (5.B.3)1 as of Nov 20, 2017
Aug 25, 20171 then
Employees (5.A)1 as of Nov 20, 2017
Aug 25, 20171 then
Private funds: no history
Practice profile
derived from the filing of Nov 20, 2017; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived18 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••• J•••••• · Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
Entity owners
- H• G• • L• M••••••••• L•• · Trusteedirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Albany, NY1 employees
- Atlanta, GA1 employees
- Austin, TX1 employees
- Baton Rouge, LA1 employees
- Cheyenne, WY1 employees
- Cincinnati, OH1 employees
- Honolulu, HI1 employees
- Hummelstown, PA1 employees
- Loxahatchee, FL1 employees
- Lutherville, MD1 employees
- Montgomery, AL1 employees
- Oxford, MS1 employees
- Raleigh, NC1 employees
- Trenton, NJ1 employees
- Washington, DC1 employees
- Westlake Village, CA1 employees
- Wilmington, DE1 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 5Sep 14, 2017 to Nov 17, 2017
- Charity clients · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Corporate clients · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- HNW clients · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Individual clients · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Pension plan clients · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Pooled vehicle clients · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Financial planning clients · unset to 0Sep 14, 2017 to Nov 17, 2017
- Other offices · unset to 17.0Sep 14, 2017 to Nov 17, 2017
- HNW RAUM · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Individual RAUM · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Pension RAUM · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Pooled vehicle RAUM · unset to 0.0Sep 14, 2017 to Nov 17, 2017
- Business name · L••• P•••• A•••••••• L••••• to L••• P•••• A•••••••Aug 25, 2017 to Aug 30, 2017
Signals
1 dated events
- L••• P•••• A•••••••• L••••• filed its initial SEC registration (Form ADV)Aug 25, 2017 · 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