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••• B••••• C•••••• I•

Former SEC-registered adviserToronto, Ontario, CRD 290446SEC 801-117075IAPD
Legal name L••• B••••• C•••••• I• I•••
Latest filing Mar 20, 2020
First filing on the tape Jun 28, 2019 · 4 filings
RAUM
$188M
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
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$188M gross assets
History
4 filings and snapshots on the tape
RAUM$188M as of Mar 20, 2020
Jun 28, 2019$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2020
Jun 28, 20190 then
Employees (5.A)6 as of Mar 20, 2020
Jun 28, 20194 then
Private funds2 as of Mar 20, 2020
Jun 28, 20192 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
$94.0MderivedRAUM 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
$188M, 2 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$188M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$188M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I• S•••••••• F••• 2• L•••Venture Capital Fund$127M2Oct 6, 2017
      C•••••••• S•••••••• F•••• L•••Venture Capital Fund$60.8M2Mar 20, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J••••• · Shareholder, Director, Managing Partner, Chief Compliance Officercontrol
        since 04/2017 · owns 25% to 50%
      • E•••• F••••••• X••••• · Director, Managing Partnercontrol
        since 04/2017 · owns less than 5%
      • M•••••••• S••••• · Shareholder, Director, Managing Partnercontrol
        since 04/2017 · 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
      • Accounts · 1 to 2
        Oct 1, 2019 to Mar 20, 2020
      • Pooled vehicle clients · 1 to 2
        Oct 1, 2019 to Mar 20, 2020
      • Assets in custody · $139M to $188M
        Oct 1, 2019 to Mar 20, 2020
      • Employees · 4 to 6
        Oct 1, 2019 to Mar 20, 2020
      • Private funds · 1 to 2
        Oct 1, 2019 to Mar 20, 2020
      • Discretionary RAUM · $139M to $188M
        Oct 1, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · $139M to $188M
        Oct 1, 2019 to Mar 20, 2020
      • RAUM · $139M to $188M
        Oct 1, 2019 to Mar 20, 2020
      • Private funds · 2 to 1
        Jun 28, 2019 to Sep 24, 2019
      Signals
      1 dated events
      • L••• B••••• C•••••• I• filed its initial SEC registration (Form ADV)
        Jun 28, 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