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•••••• M••••••••• L•
Latest filing Mar 17, 2026
First filing on the tape Nov 15, 2016 · 18 filings
SEC status approved since Dec 6, 2016
RAUM
$178M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$178M as of Mar 17, 2026
Mar 14, 2017$44.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 14, 20170 then
Employees (5.A)3 as of Mar 17, 2026
Mar 14, 20172 then
Private funds1 as of Mar 17, 2026
Mar 14, 20171 then
RAUM +6.2% over the last fiscal year-1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $44.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%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
- +6.2%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 businesses and institutions, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$135M76%
- Charitable organizations$43.4M24%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.76 institutional_share=0.24 related_bd=false related_bank=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• M••••••••• M••••• F••• L• | Hedge Fund | $147M | 45 | Mar 30, 2018 |
| L•••••• M••••••••• O•••••• L•no longer reported | Hedge Fund | $29.4M | 16 | Mar 14, 2017 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• S•••• S• · Partnercontrolsince 08/2016 · owns 75% or more
- M••••• C••••••••• · Chief Compliance Officercontrolsince 08/2017 · owns less than 5%
- L••••••• S•••• S• · Managing Membercontrolsince 08/2016 · owns 75% or more of L•••••• M••••••••• G•• L••
- L••••••• G••••••• L• · Partnersince 08/2016 · owns 10% to 25%
Entity owners
- L•••••• M••••••••• G•• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- L•••••• M••••••••• G•••••• P•••••• G•• L••bankpooled vehicle sponsorn
- L•••••• M••••••••• G•••••• P•••••• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 17, 2026institutional share of RAUM of 24% against a peer median of 0% (1568 comparable advisers, 99.0th percentile, 8.2 robust deviations)peers: asset managers, $100M to $500M (1,568) · 99% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $168M to $178MMar 20, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $128M to $135MMar 20, 2025 to Mar 17, 2026
- RAUM · $168M to $178MMar 20, 2025 to Mar 17, 2026
- Accounts · 5 to 4Mar 19, 2024 to Mar 20, 2025
- Pooled vehicle clients · 4 to 3Mar 19, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 20, 2025
- Discretionary RAUM · $196M to $168MMar 19, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $156M to $128MMar 19, 2024 to Mar 20, 2025
- RAUM · $196M to $168MMar 19, 2024 to Mar 20, 2025
- Employees · 4 to 3Jul 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $186M to $196MJul 10, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $155M to $156MJul 10, 2023 to Mar 19, 2024
- RAUM · $186M to $196MJul 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $276M to $186MMar 11, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $240M to $155MMar 11, 2022 to Mar 20, 2023
- RAUM · $276M to $186MMar 11, 2022 to Mar 20, 2023
- Discretionary RAUM · $232M to $276MJul 9, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $202M to $240MJul 9, 2021 to Mar 11, 2022
- RAUM · $232M to $276MJul 9, 2021 to Mar 11, 2022
- Discretionary RAUM · $171M to $232MMar 27, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $149M to $202MMar 27, 2020 to Mar 23, 2021
- RAUM · $171M to $232MMar 27, 2020 to Mar 23, 2021
- Discretionary RAUM · $118M to $171MMar 6, 2020 to Mar 27, 2020
- Pooled vehicle RAUM · $107M to $149MMar 6, 2020 to Mar 27, 2020
- RAUM · $118M to $171MMar 6, 2020 to Mar 27, 2020
- Discretionary RAUM · $124M to $118MJun 1, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $123M to $107MJun 1, 2018 to Mar 28, 2019
- RAUM · $124M to $118MJun 1, 2018 to Mar 28, 2019
- Related bank · false to trueJun 1, 2018 to Mar 28, 2019
- Accounts · 2 to 5Aug 16, 2017 to Mar 30, 2018
- Advisory employees · 1 to 2Aug 16, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 4.0Aug 16, 2017 to Mar 30, 2018
- Employees · 2 to 4Aug 16, 2017 to Mar 30, 2018
- Financial planning clients · unset to 0Aug 16, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Aug 16, 2017 to Mar 30, 2018
- Discretionary RAUM · $44.5M to $124MAug 16, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 122776764.0Aug 16, 2017 to Mar 30, 2018
- RAUM · $44.5M to $124MAug 16, 2017 to Mar 30, 2018
- Accounts · unset to 2.0Nov 28, 2016 to Mar 14, 2017
- Employees · 1 to 2Nov 28, 2016 to Mar 14, 2017
Signals
1 dated events
- L•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 15, 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.
How to reach
public business contact points only, each with its source
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (646) 558-8607reportedpublic record, Form ADV, Mar 17, 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