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• C•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 287901SEC 801-110149IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 7, 2017 · 5 filings
RAUM
$175M
reported, Item 5.F
Discretionary
7.0%
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
41
$173M gross assets
History
5 filings and snapshots on the tape
RAUM$175M as of Mar 30, 2020
Mar 31, 2018$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 31, 20180 then
Employees (5.A)6 as of Mar 30, 2020
Mar 31, 20182 then
Private funds41 as of Mar 30, 2020
Mar 31, 201824 then
RAUM +2.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$13.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.0%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
+2.5%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$175M, 13 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$175M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$175M for 13 clientsreported
Compensation
% of AUM, fixed, 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
      41 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• T••••••••• S••••• F••• L•• • S••••• C•Private Equity Fund$18.8M78Mar 30, 2016
      M••• I••••••••• L••Private Equity Fund$13.2M88Oct 27, 2014
      L• C•••••• I••••• F••• L••Private Equity Fund$12.2M25Mar 30, 2020
      L• C•••• L•• • S••••• C•Private Equity Fund$11.9M81Mar 7, 2017
      A••••••• T••••••••• F••• L•• • S••••• C•Private Equity Fund$10.9M76Mar 30, 2016
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• B•Private Equity Fund$8.9M48Mar 30, 2016
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• A•Private Equity Fund$8.2M77Mar 30, 2016
      A••••••• T••••••••• S••••• F••• V•• L•• • S••••• E•Private Equity Fund$7.8M70Mar 29, 2019
      A••••••• T••••••••• S••••• F••• L•• • S••••• A•Private Equity Fund$7.1M79Apr 1, 2015
      A••••••• T••••••••• F••• L•• • S••••• A•Private Equity Fund$7.1M67Oct 27, 2014
      L• C•••• L•• • S••••• B•Private Equity Fund$6.5M71Mar 7, 2017
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• A•Private Equity Fund$5.6M40Mar 29, 2019
      A••••••• T••••••••• S••••• F••• I•• L•• • S••••• B•Private Equity Fund$5.3M59Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• B•Private Equity Fund$4.7M58Mar 29, 2019
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• D•Private Equity Fund$4.6M39Mar 31, 2018
      A••••••• T••••••••• S••••• F••• I•• L•• • S••••• A•Private Equity Fund$4.6M64Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V••• L•• • S••••• D•Private Equity Fund$4.3M60Mar 30, 2020
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• B•Private Equity Fund$4.2M50Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• A•Private Equity Fund$3.9M41Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V••• L•• • S••••• A•Private Equity Fund$3.8M52Mar 30, 2020
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• E•Private Equity Fund$3.3M38Mar 29, 2019
      A••••••• T••••••••• S••••• F••• V•• L•• • S••••• A•Private Equity Fund$2.9M34Mar 29, 2019
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• A•Private Equity Fund$2.8M50Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• B•Private Equity Fund$2.8M30Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V••• L•• • S••••• E•Private Equity Fund$2.7M29Mar 30, 2020
      A••••••• T••••••••• S••••• F••• V•• L•• • S••••• B•Private Equity Fund$2.5M44Mar 29, 2019
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• D•Private Equity Fund$1.7M26Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• D•Private Equity Fund$664,50020Mar 29, 2019
      A••••••• T••••••••• F••• L•• • S••••• B•Private Equity Fund$22,22753Mar 30, 2016
      A••••••• T••••••••• S••••• F••• V•• L•• • S••••• D•Private Equity Fund$00Mar 29, 2019
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• C•Private Equity Fund$00Mar 29, 2019
      L• C•••• L•• • S••••• D•Private Equity Fund$00Mar 7, 2017
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• C•Private Equity Fund$00Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V•• L•• • S••••• C•Private Equity Fund$00Mar 29, 2019
      A••••••• T••••••••• S••••• F••• L•• • S••••• E•Private Equity Fund$00Mar 30, 2016
      A••••••• T••••••••• S••••• F••• I• L•• • S••••• C•Private Equity Fund$00Mar 30, 2016
      A••••••• T••••••••• S••••• F••• V• L•• • S••••• C•Private Equity Fund$00Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V••• L•• • S••••• C•Private Equity Fund$00Mar 30, 2020
      A••••••• T••••••••• S••••• F••• I•• L•• • S••••• C•Private Equity Fund$00Mar 31, 2018
      A••••••• T••••••••• S••••• F••• V••• L•• • S••••• B•Private Equity Fund$00Mar 30, 2020
      All funds of L• C•••••• A••••••• L••
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• R••••••• A•••••• · Managing Membercontrol
        since 01/2015 · owns 75% or more
      • M••••• P•••••• · Chief Compliance Officercontrol
        since 03/2017 · 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
      • Accounts · 10 to 13
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 1 to 6
        Mar 29, 2019 to Mar 30, 2020
      • BD registered reps · 2 to 1
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 10 to 13
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $170M to $175M
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 2 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 34 to 41
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $0 to $12.2M
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $170M to $162M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $170M to $175M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $170M to $175M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 8 to 10
        Mar 31, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 8 to 10
        Mar 31, 2018 to Mar 29, 2019
      • Assets in custody · unset to 170325624.0
        Mar 31, 2018 to Mar 29, 2019
      • Custody of client assets · false to true
        Mar 31, 2018 to Mar 29, 2019
      • Private funds · 24 to 34
        Mar 31, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $139M to $170M
        Mar 31, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $139M to $170M
        Mar 31, 2018 to Mar 29, 2019
      • RAUM · $139M to $170M
        Mar 31, 2018 to Mar 29, 2019
      • Accounts · 5 to 8
        May 25, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 8.0
        May 25, 2017 to Mar 31, 2018
      • Assets in custody · 11113200.0 to unset
        May 25, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        May 25, 2017 to Mar 31, 2018
      • Private funds · 13 to 24
        May 25, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $104M to $139M
        May 25, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 139306841.0
        May 25, 2017 to Mar 31, 2018
      • RAUM · $104M to $139M
        May 25, 2017 to Mar 31, 2018
      Signals
      1 dated events
      • L• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 7, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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