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.

Former SEC-registered adviser

L••• B••••• C•••••• I••

Former SEC-registered adviserToronto, Ontario, CRD 290089SEC 801-117285IAPD
Legal name L••• B••••• C•••••• I•• I•••
Latest filing Aug 2, 2019
First filing on the tape Aug 2, 2019 · 1 filings
RAUM
$59.7M
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
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$119M gross assets
History
1 filings and snapshots on the tape
RAUM: $59.7M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds: 2
Practice profile
derived from the filing of Aug 2, 2019; 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
$59.7MderivedRAUM 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
unknownderived3 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
Custody
$59.7M, 1 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)
  • 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$59.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$59.7M for 1 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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• S•••••••• F•••• L•••Venture Capital Fund$59.7M2Sep 11, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J••••• · Shareholder, Director, Managing Partnercontrol
        since 06/2017 · owns 25% to 50%
      • E•••• F••••••• X••••• · Director, Managing Partnercontrol
        since 06/2017 · owns less than 5%
      • M•••••••• S••••• · Shareholder, Director, Managing Partnercontrol
        since 06/2017 · owns 25% to 50%
      • E•••• F••••••• X••••• · Sole Shareholdercontrol
        since 01/2006 · owns 75% or more of F•• C•••••• L••
      Entity owners
      • F•• C•••••• L•• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list L••• B••••• C•••••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • L••• B••••• C•••••• I•• filed its initial SEC registration (Form ADV)
        Aug 2, 2019 · 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