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•••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 288414SEC 801-110721IAPD
Latest filing Mar 30, 2020
First filing on the tape May 27, 2017 · 11 filings
RAUM
n/a
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$251M as of Mar 29, 2019
Mar 28, 2018$174M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20180 then
Employees (5.A)2 as of Mar 30, 2020
Mar 28, 20183 then
Private funds1 as of Mar 30, 2020
Mar 28, 20181 then
RAUM n/a over the last fiscal yearIARs 0 to 0offices 1 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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, performance-basedreportedItem 5.E
Advisory activities
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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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••••••••• O••••••••• F••• I•Real Estate Fund$00May 27, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• N•••• L•••• · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • S••••••••• P•••• H•••• · Presidentcontrol
        since 07/2017 · owns less than 5%
      Entity owners
      • L••••••••• C••••••••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • L••••••••• C•••••••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Apr 30, 2019 to Mar 30, 2020
      • Advisory employees · 3 to 2
        Apr 30, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1.0 to unset
        Apr 30, 2019 to Mar 30, 2020
      • Employees · 3 to 2
        Apr 30, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Apr 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · 251000000.0 to unset
        Apr 30, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Apr 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · 251000000.0 to unset
        Apr 30, 2019 to Mar 30, 2020
      • RAUM · 251000000.0 to unset
        Apr 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $174M to $251M
        Nov 9, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $174M to $251M
        Nov 9, 2018 to Mar 29, 2019
      • RAUM · $174M to $251M
        Nov 9, 2018 to Mar 29, 2019
      • Accounts · 2 to 1
        Oct 25, 2017 to Mar 28, 2018
      • Advisory employees · 1 to 3
        Oct 25, 2017 to Mar 28, 2018
      • Employees · 2 to 3
        Oct 25, 2017 to Mar 28, 2018
      • Discretionary RAUM · $113M to $174M
        Oct 25, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · $113M to $174M
        Oct 25, 2017 to Mar 28, 2018
      • RAUM · $113M to $174M
        Oct 25, 2017 to Mar 28, 2018
      • Accounts · 0 to 2
        Jun 26, 2017 to Oct 25, 2017
      • Pooled vehicle clients · unset to 1.0
        Jun 26, 2017 to Oct 25, 2017
      • Assets in custody · 0.0 to unset
        Jun 26, 2017 to Oct 25, 2017
      • Custody of client assets · true to false
        Jun 26, 2017 to Oct 25, 2017
      • Other offices · unset to 1.0
        Jun 26, 2017 to Oct 25, 2017
      • Discretionary RAUM · $0 to $113M
        Jun 26, 2017 to Oct 25, 2017
      • Pooled vehicle RAUM · unset to 113300000.0
        Jun 26, 2017 to Oct 25, 2017
      • RAUM · $0 to $113M
        Jun 26, 2017 to Oct 25, 2017
      Signals
      1 dated events
      • L• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 27, 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
      Across the graphs

      L• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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