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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
L••••• L•••••••• S•••••••• C••••••• L••
Latest filing Jul 17, 2026
First filing on the tape Aug 18, 2017 · 18 filings
SEC status approved since Sep 14, 2017
RAUM
$1.5B
reported, Item 5.F
Discretionary
0.0%
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
73
52 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.5B as of Jul 17, 2026
Mar 29, 2019$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Mar 27, 20180 then
Employees (5.A)73 as of Jul 17, 2026
Mar 27, 201847 then
Private funds: 1
RAUM +17% over the last fiscal year+28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 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
- $1.5BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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
- otherreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
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
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••• C••••••••• L•••no longer reported | Other Private Fund | $1.5M | 1 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H••••• S••••••• J•••• · President/Co-Coo/Chief Financial Officercontrolsince 08/2017 · owns less than 5%
- K••• J•••• H• · Chief Compliance Officer & Associate General Counselcontrolsince 04/2023 · owns less than 5%
- L••••••••• L•••••• B••• · Co-Chairperson Of The Executive Committeecontrolsince 09/2016 · owns less than 5%
- L•••••• A•••••• E••••• · Co-Chairperson Of The Executive Committeecontrolsince 09/2016 · owns less than 5%
- W•••••• D••••• I•••• · General Counsel/Co-Chief Operating Officer/Vice Presidentcontrolsince 09/2016 · owns less than 5%
- L••••••••• L•••••• B••• · Trusteecontrolsince 06/1988 · owns F of L••••••••• L••••• T••••• D•••• J••• 2•• 1•••
- L••••••••• L•••••• B••• · Managercontrolsince 09/2018 · owns F of M•••• D•••• M••••••••• G•• L••
- L•••••• A•••••• E••••• · Managercontrolsince 09/2018 · owns F of M•••• D•••• M••••••••• G•• L••
- L•••••• A•••••• E••••• · Trusteecontrolsince 06/1988 · owns F of L••••••••• L••••• T••••• D•••• J••• 2•• 1•••
Entity owners
- L••• S•••••••• H•••••••• L•• · Member And Managerdirect · owns 75% or more
- L••••••••• L••••• T••••• D•••• J••• 2•• 1••• · Memberindirect · owns 75% or more of M•••• D•••• M••••••••• G•• L••
- L••••••••• L••••• T••••• D•••• J••• 2•• 1••• · Shareholderindirect · owns 75% or more of M•••• D•••• M••••••••• H•••••••• I•••
- L••• H•••••• C••••••• L• · Member And Managerindirect · owns 75% or more of L••• S•••••••• H•••••••• L••
- M•••• D•••• M••••••••• G•• L•• · General Partnerindirect · owns F of L••• H•••••• C••••••• L•
- M•••• D•••• M••••••••• G•• L•• · General Partnerindirect · owns F of M•••• D•••• M••••••••• L•
- M•••• D•••• M••••••••• H•••••••• I••• · Limited Partnerindirect · owns 50% to 75% of M•••• D•••• M••••••••• L•
- M•••• D•••• M••••••••• L• · Limited Partnerindirect · owns 75% or more of L••• H•••••• C••••••• L•
Related persons
Schedule D 7.A
- L••••• L•••••••• C•••••• P•••••••• L••investment advisernRAUM $12B
- L••• C••••••••• G•• L•••pooled vehicle sponsorn
- L••• E••••• G•• L•••pooled vehicle sponsorn
- L••• E••••• L••investment advisern
- L••• G•••••• G•••investment advisern
- L••• L•• A••••••••• G•• L•••pooled vehicle sponsorn
- L••• L•• G•• L••pooled vehicle sponsorn
- L••• L•• I•• G•• L•••pooled vehicle sponsorn
- L••• N••••••••• B•••investment advisern
- L••• P••••••• E••••• I• G•• L•••pooled vehicle sponsorn
- L••• P••••••• E••••• I• G•• S•• R•••pooled vehicle sponsorn
- L••• P••••••• I• G•• L••pooled vehicle sponsorn
- L••• P••••••• V• G•• L••pooled vehicle sponsorn
- L••• P••••••• V• G•• L•••pooled vehicle sponsorn
- L••• P••••••• V•• G•• L•••pooled vehicle sponsorn
- L••• P•• G•• L••pooled vehicle sponsorn
- L••• S•••• B••••••• G•• L••pooled vehicle sponsorn
- L••• S••••• A•investment advisern
- L••••• G•• L••pooled vehicle sponsorn
Advisers that list L••••• L•••••••• S•••••••• C••••••• L•• as a related person
- 140980 n
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom9 employees
- New York, NY3 employees
- Miami, FL3 employees
- Stockholm, Sweden1 employees
- Frankfurt Am Main, Germany1 employees
- Chicago, IL1 employees
- Den Haag, Netherlands1 employees
- Charlotte, NC
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 17, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 46 to 52Mar 27, 2025 to Mar 31, 2026
- Employees · 65 to 73Mar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- Financial planning clients · unset to Nov 7, 2024 to Mar 27, 2025
- Other offices · 8 to 7Nov 7, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.0B to $1.3BNov 7, 2024 to Mar 27, 2025
- RAUM · $1.0B to $1.3BNov 7, 2024 to Mar 27, 2025
- Advisory employees · 43 to 46Oct 31, 2023 to Mar 29, 2024
- Employees · 58 to 65Oct 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $709M to $1.0BOct 31, 2023 to Mar 29, 2024
- RAUM · $709M to $1.0BOct 31, 2023 to Mar 29, 2024
- Accounts · 2 to 1Aug 8, 2023 to Oct 31, 2023
- Pooled vehicle clients · 1.0 to unsetAug 8, 2023 to Oct 31, 2023
- Assets in custody · 1541263.0 to unsetAug 8, 2023 to Oct 31, 2023
- Custody of client assets · true to falseAug 8, 2023 to Oct 31, 2023
- Private funds · 1 to unsetAug 8, 2023 to Oct 31, 2023
- Discretionary RAUM · $1.5M to $0Aug 8, 2023 to Oct 31, 2023
- Pooled vehicle RAUM · 1541263.0 to unsetAug 8, 2023 to Oct 31, 2023
- RAUM · $711M to $709MAug 8, 2023 to Oct 31, 2023
- Accounts · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · unset to 1.0Mar 30, 2022 to Mar 30, 2023
- Assets in custody · unset to 1541263.0Mar 30, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMar 30, 2022 to Mar 30, 2023
- Private funds · unset to 1Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $0 to $1.5MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $500M to $709MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · unset to 1541263.0Mar 30, 2022 to Mar 30, 2023
- RAUM · $500M to $711MMar 30, 2022 to Mar 30, 2023
- Advisory employees · 42 to 43Jan 5, 2022 to Mar 30, 2022
- Employees · 61 to 58Jan 5, 2022 to Mar 30, 2022
- Non-discretionary RAUM · $309M to $500MJan 5, 2022 to Mar 30, 2022
- RAUM · $309M to $500MJan 5, 2022 to Mar 30, 2022
- Other offices · 7 to 8Mar 31, 2021 to Jan 5, 2022
- Advisory employees · 43 to 42Mar 27, 2020 to Mar 31, 2021
- Employees · 53 to 61Mar 27, 2020 to Mar 31, 2021
- Other offices · 8 to 7Mar 27, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $174M to $309MMar 27, 2020 to Mar 31, 2021
- RAUM · $174M to $309MMar 27, 2020 to Mar 31, 2021
- Employees · 54 to 53Mar 29, 2019 to Mar 27, 2020
Signals
9 dated events
- L••••• L•••••••• S•••••••• C••••••• L•• reported RAUM $1.3B, up 27% from $1.0B (2024-11-07 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- L••••• L•••••••• S•••••••• C••••••• L•• reported RAUM $1.0B, up 43% from $709.1M (2023-10-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- H. J••• Kim (Chief Compliance Officer & Associate General Counsel) appeared on Schedule A of L••••• L•••••••• S•••••••• C••••••• L••Aug 8, 2023 · Control person joined · fact
- M•••••• J•••••• K•••• (Chief Compliance Officer And Assistant General Counsel) no longer on Schedule A of L••••• L•••••••• S•••••••• C••••••• L•• (listed 2023-03-30, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- L••••• L•••••••• S•••••••• C••••••• L•• reported RAUM $710.6M, up 42% from $500.3M (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- L••••• L•••••••• S•••••••• C••••••• L•• reported RAUM $500.3M, up 62% from $309.0M (2022-01-05 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- M•••••• J•••••• K•••• (Chief Compliance Officer And Assistant General Counsel) appeared on Schedule A of L••••• L•••••••• S•••••••• C••••••• L••Jan 5, 2022 · Control person joined · fact
- L••••• L•••••••• S•••••••• C••••••• L•• reported RAUM $309.0M, up 77% from $174.3M (2020-03-27 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- L••••• L•••••••• S•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 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.
How to reach
public business contact points only, each with its source
- Website
- L•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-237-7594reportedpublic record, Form ADV, Jul 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
- Other 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