DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

L•••• S•• M•••• L•

Former SEC-registered adviserNew York, New YorkCRD 286571SEC 801-108990IAPD

Latest filing Mar 25, 2022

First filing on the tape Jan 13, 2017 · 11 filings

RAUM

$1.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$664M gross assets

History

11 filings and snapshots on the tape

RAUM$1.3B as of Mar 25, 2022

Mar 21, 2018$1.6B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2022

Mar 21, 20180 then

Employees (5.A)17 as of Mar 25, 2022

Mar 21, 201823 then

Private funds1 as of Mar 25, 2022

Mar 21, 20181 then

RAUM +23% over the last fiscal year-15% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 2022; 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: $213MderivedRAUM 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: +23%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
Custody: $1.3B, 6 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)
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)
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$664M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $1.3B for 6 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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
L•••• S•• M•••• M••••• F••• L•	Hedge Fund	$664M	11	May 2, 2017
L•••• S•• M•••• O••••••••• F••• I• L•no longer reported	Hedge Fund	$174M	33	Oct 18, 2018
L•••• S•• M•••• O••••••••• F••• I• L•no longer reported	Hedge Fund	$39.0M	5	Oct 18, 2018

Owners and control persons

Schedule A and B, latest filing

M••••••• B•••••••• Z•• · Chief Investment Officer / Chief Executive Officer / Founder / Limited Partnercontrol
since 06/2016 · owns 75% or more
S••••••• D••••••• A••••• · Chief Financial Officer / Chief Compliance Officercontrol
since 08/2016 · owns less than 5%
M••••••• B•••••••• Z•• · Managing Membercontrol
since 06/2016 · owns 75% or more of B••• G• L••

Entity owners

B••• G• L•• · G•••••• Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

L•••• S•• M•••• G•••••• P•••••• L•
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 5 to 6
Mar 24, 2021 to Mar 25, 2022
Advisory employees · 10 to 9
Mar 24, 2021 to Mar 25, 2022
Pooled vehicle clients · 4 to 5
Mar 24, 2021 to Mar 25, 2022
Assets in custody · $916M to $1.3B
Mar 24, 2021 to Mar 25, 2022
Employees · 21 to 17
Mar 24, 2021 to Mar 25, 2022
Discretionary RAUM · $1.0B to $1.3B
Mar 24, 2021 to Mar 25, 2022
Pooled vehicle RAUM · $916M to $664M
Mar 24, 2021 to Mar 25, 2022
RAUM · $1.0B to $1.3B
Mar 24, 2021 to Mar 25, 2022
Accounts · 4 to 5
Mar 25, 2020 to Mar 24, 2021
Advisory activities · 1 to 2
Mar 25, 2020 to Mar 24, 2021
Assets in custody · $1.8B to $916M
Mar 25, 2020 to Mar 24, 2021
Discretionary RAUM · $1.8B to $1.0B
Mar 25, 2020 to Mar 24, 2021
Pooled vehicle RAUM · $1.8B to $916M
Mar 25, 2020 to Mar 24, 2021
RAUM · $1.8B to $1.0B
Mar 25, 2020 to Mar 24, 2021
Accounts · 8 to 4
Mar 21, 2019 to Mar 24, 2020
Advisory employees · 11 to 10
Mar 21, 2019 to Mar 24, 2020
Pooled vehicle clients · 8 to 4
Mar 21, 2019 to Mar 24, 2020
Assets in custody · $2.1B to $1.8B
Mar 21, 2019 to Mar 24, 2020
Employees · 20 to 21
Mar 21, 2019 to Mar 24, 2020
Private funds · 3 to 1
Mar 21, 2019 to Mar 24, 2020
Discretionary RAUM · $2.1B to $1.8B
Mar 21, 2019 to Mar 24, 2020
Pooled vehicle RAUM · $2.1B to $1.8B
Mar 21, 2019 to Mar 24, 2020
RAUM · $2.1B to $1.8B
Mar 21, 2019 to Mar 24, 2020
Accounts · 4 to 8
Oct 18, 2018 to Mar 21, 2019
Pooled vehicle clients · 4 to 8
Oct 18, 2018 to Mar 21, 2019
Assets in custody · $1.6B to $2.1B
Oct 18, 2018 to Mar 21, 2019
Discretionary RAUM · $1.6B to $2.1B
Oct 18, 2018 to Mar 21, 2019
Pooled vehicle RAUM · $1.6B to $2.1B
Oct 18, 2018 to Mar 21, 2019
RAUM · $1.6B to $2.1B
Oct 18, 2018 to Mar 21, 2019
Advisory employees · 12 to 11
Sep 5, 2018 to Oct 18, 2018
Employees · 23 to 20
Sep 5, 2018 to Oct 18, 2018
Private funds · 1 to 3
Sep 5, 2018 to Oct 18, 2018
Advisory employees · 7 to 12
May 2, 2017 to Mar 21, 2018
Pooled vehicle clients · unset to 4.0
May 2, 2017 to Mar 21, 2018
Assets in custody · $653M to $1.6B
May 2, 2017 to Mar 21, 2018
Employees · 14 to 23
May 2, 2017 to Mar 21, 2018
Other offices · unset to 0.0
May 2, 2017 to Mar 21, 2018
Discretionary RAUM · $653M to $1.6B
May 2, 2017 to Mar 21, 2018
Pooled vehicle RAUM · unset to 1647809316.0
May 2, 2017 to Mar 21, 2018
RAUM · $653M to $1.6B
May 2, 2017 to Mar 21, 2018

Signals

7 dated events

Scott Joseph Mauro (Partner / Head Of Markets / Limited Partner) no longer on Schedule A of L•••• S•• M•••• L• (listed 2021-03-24, absent 2022-03-25)
Mar 25, 2022 · Control person left · inference
Fabian Alberto Ades (Partner / Head Of Research / Limited Partner) no longer on Schedule A of L•••• S•• M•••• L• (listed 2021-03-24, absent 2022-03-25)
Mar 25, 2022 · Control person left · inference
Daniel Rodriguez (Chief Risk Officer) no longer on Schedule A of L•••• S•• M•••• L• (listed 2021-03-24, absent 2022-03-25)
Mar 25, 2022 · Control person left · inference
L•••• S•• M•••• L• reported RAUM $1.0B, down 42% from $1.8B (2020-03-25 to 2021-03-24)
Mar 24, 2021 · RAUM change · derived
L•••• S•• M•••• L• reported RAUM $2.1B, up 28% from $1.6B (2018-10-18 to 2019-03-21)
Mar 21, 2019 · RAUM change · derived
L•••• S•• M•••• L• reported RAUM $1.6B, up 152% from $653.0M (2017-05-02 to 2018-03-21)
Mar 21, 2018 · RAUM change · derived
L•••• S•• M•••• L• filed its initial SEC registration (Form ADV)
Jan 13, 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