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••••••• C••••••
Legal name L••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 31, 2017 · 13 filings
SEC status approved since Sep 29, 2017
RAUM
$1.8B
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
29
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.8B as of Mar 31, 2026
Jan 22, 2018$615M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 22, 20180 then
Employees (5.A)29 as of Mar 31, 2026
Jan 22, 20189 then
Private funds6 as of Mar 31, 2026
Jan 22, 20182 then
RAUM -15% over the last fiscal year-3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $306MderivedRAUM 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
- -15%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.8B, 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
- 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)
- 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$1.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• I••••••••• P••••••• I• L• | Private Equity Fund | $693M | 47 | Mar 31, 2022 |
| L••••••• I••••••••• P••••••• L• | Private Equity Fund | $570M | 19 | Jan 22, 2018 |
| L••••••• I••••••••• P••••••• A• L• | Private Equity Fund | $325M | 12 | Jan 22, 2018 |
| L••••••• I••••••••• P••••••• I••• L• | Private Equity Fund | $243M | 13 | Mar 31, 2022 |
| L••••••• E•••••••• F••• L• | Private Equity Fund | $58.0M | 55 | Mar 28, 2019 |
| L••••••• E•••••••• F••• I• L• | Private Equity Fund | $44.2M | 92 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H•• S•••••• D•••• · Partner, Chief Compliance Officer, Chief Financial Officercontrolsince 02/2017 · owns less than 5%
- R••••••••• N•••••• •••• · Partner, Managing Member Of Registrantcontrolsince 06/2016 · owns 50% to 75%
- S••••• A•••• L•••• · Partner, Managing Member Of Registrantcontrolsince 06/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- L••••••• I••••••••• P••••••• G• L•bankpooled vehicle sponsorn
- L••••••• I••••••••• P••••••• I• G• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 20 to 24Jul 24, 2025 to Mar 31, 2026
- Assets in custody · $2.2B to $1.8BJul 24, 2025 to Mar 31, 2026
- Employees · 24 to 29Jul 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.2B to $1.8BJul 24, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.2B to $1.8BJul 24, 2025 to Mar 31, 2026
- RAUM · $2.2B to $1.8BJul 24, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 24, 2025
- Advisory employees · 23 to 20Dec 2, 2024 to Mar 31, 2025
- Assets in custody · $1.9B to $2.2BDec 2, 2024 to Mar 31, 2025
- Employees · 27 to 24Dec 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.9B to $2.2BDec 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.9B to $2.2BDec 2, 2024 to Mar 31, 2025
- RAUM · $1.9B to $2.2BDec 2, 2024 to Mar 31, 2025
- Advisory employees · 18 to 23Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $2.0B to $1.9BMar 31, 2023 to Mar 29, 2024
- Employees · 24 to 27Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.0B to $1.9BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.0B to $1.9BMar 31, 2023 to Mar 29, 2024
- RAUM · $2.0B to $1.9BMar 31, 2023 to Mar 29, 2024
- Accounts · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 17 to 18Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.7B to $2.0BMar 31, 2022 to Mar 31, 2023
- Employees · 21 to 24Mar 31, 2022 to Mar 31, 2023
- Private funds · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.7B to $2.0BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.7B to $2.0BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.7B to $2.0BMar 31, 2022 to Mar 31, 2023
- Accounts · 3 to 5Mar 23, 2021 to Mar 31, 2022
- Advisory employees · 11 to 17Mar 23, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 5Mar 23, 2021 to Mar 31, 2022
- Assets in custody · $723M to $1.7BMar 23, 2021 to Mar 31, 2022
- Employees · 14 to 21Mar 23, 2021 to Mar 31, 2022
- Private funds · 3 to 5Mar 23, 2021 to Mar 31, 2022
- Discretionary RAUM · $723M to $1.7BMar 23, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $723M to $1.7BMar 23, 2021 to Mar 31, 2022
- RAUM · $723M to $1.7BMar 23, 2021 to Mar 31, 2022
- Advisory employees · 10 to 11Mar 24, 2020 to Mar 23, 2021
- Assets in custody · $623M to $723MMar 24, 2020 to Mar 23, 2021
- Employees · 13 to 14Mar 24, 2020 to Mar 23, 2021
Signals
2 dated events
- L••••••• C•••••• reported RAUM $1.7B, up 132% from $723.3M (2021-03-23 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- L••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- L••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- L•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-919-4300reportedpublic record, Form ADV, Mar 31, 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