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••
Latest filing Mar 27, 2025
First filing on the tape Jun 10, 2020 · 7 filings
SEC status approved since Jul 10, 2020
RAUM
$528M
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
21
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
18
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$528M as of Mar 27, 2025
Mar 12, 2021$270M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Mar 12, 20210 then
Employees (5.A)21 as of Mar 27, 2025
Mar 12, 202116 then
Private funds18 as of Mar 27, 2025
Mar 12, 20212 then
RAUM +5.9% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; 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
- $29.4MderivedRAUM 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
- +5.9%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
- $528M, 18 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$528M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $528M for 18 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
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• C•••••• O••••••••• R••• F••• I• L• | Real Estate Fund | $271M | 61 | Jan 5, 2018 |
| L••••••• S•••••• O••••••••• F••• I••• L••• | Real Estate Fund | $91.5M | 13 | Mar 31, 2023 |
| L••• M•••••• P• J•• L•• | Real Estate Fund | $38.3M | 1 | Mar 31, 2023 |
| H•••••• L••• P• J••••• | Real Estate Fund | $33.0M | 13 | Mar 31, 2023 |
| L••• L••• T•••• P• J•• L•• | Real Estate Fund | $16.0M | 11 | Mar 31, 2023 |
| L••••••• C•••••• O••••••••• F•••• I• A• L• | Real Estate Fund | $15.7M | 3 | Jan 5, 2018 |
| L••• I• L••• B•••• P• J•• L•• | Real Estate Fund | $8.5M | 5 | Mar 31, 2023 |
| P••••••••• L••• P• J• | Real Estate Fund | $7.5M | 18 | Mar 28, 2024 |
| L••• A•• A•••• P• J•• L•• | Real Estate Fund | $4.7M | 11 | Mar 31, 2023 |
| H•••••• L••• T••••• J•• L•• | Real Estate Fund | $4.1M | 14 | Mar 31, 2023 |
| L••• N••••••••• J•• L•• | Real Estate Fund | $4.0M | 1 | Mar 31, 2023 |
| L••• I• M•••••• T••••• J•• L•• | Real Estate Fund | $2.2M | 1 | Mar 31, 2023 |
| L••• L••• T•••• T••••• J•• L•• | Real Estate Fund | $925,857 | 11 | Mar 31, 2023 |
| L••• I• L••• B•••• T••••• J•• L•• | Real Estate Fund | $495,236 | 5 | Mar 31, 2023 |
| L••• A•• A•••• T••••• J•• L•• | Real Estate Fund | $275,336 | 11 | Mar 31, 2023 |
| P••••••••• L••• T••••• J• | Real Estate Fund | $233,287 | 18 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• R••••••• C••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- G•••••• C••••••••• G• · Membercontrolsince 08/2017 · owns 25% to 50%
- G•••••• G••••• M• · Membercontrolsince 08/2017 · owns 25% to 50%
- S•••••••• M•••••• · Membercontrolsince 08/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- L••••••• C•••••• O••••••••• F••• G•• L••pooled vehicle sponsory
- L••••••• S• F••• I•• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 18Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 16 to 18Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $499M to $528MMar 28, 2024 to Mar 27, 2025
- Employees · 20 to 21Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Private funds · 16 to 18Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $499M to $528MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $499M to $528MMar 28, 2024 to Mar 27, 2025
- RAUM · $499M to $528MMar 28, 2024 to Mar 27, 2025
- Accounts · 13 to 16Jun 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 16Jun 21, 2023 to Mar 28, 2024
- Assets in custody · $430M to $499MJun 21, 2023 to Mar 28, 2024
- Employees · 18 to 20Jun 21, 2023 to Mar 28, 2024
- Private funds · 14 to 16Jun 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $431M to $499MJun 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $431M to $499MJun 21, 2023 to Mar 28, 2024
- RAUM · $431M to $499MJun 21, 2023 to Mar 28, 2024
- Accounts · 2 to 13Mar 17, 2022 to Mar 31, 2023
- Advisory employees · 4 to 5Mar 17, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 13Mar 17, 2022 to Mar 31, 2023
- Assets in custody · $397M to $430MMar 17, 2022 to Mar 31, 2023
- Employees · 16 to 18Mar 17, 2022 to Mar 31, 2023
- Private funds · 2 to 14Mar 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $397M to $431MMar 17, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $397M to $431MMar 17, 2022 to Mar 31, 2023
- RAUM · $397M to $431MMar 17, 2022 to Mar 31, 2023
- Assets in custody · $270M to $397MMar 12, 2021 to Mar 17, 2022
- Discretionary RAUM · $270M to $397MMar 12, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $270M to $397MMar 12, 2021 to Mar 17, 2022
- RAUM · $270M to $397MMar 12, 2021 to Mar 17, 2022
- Assets in custody · $253M to $270MJun 10, 2020 to Mar 12, 2021
- Private funds · 4 to 2Jun 10, 2020 to Mar 12, 2021
- Discretionary RAUM · $253M to $270MJun 10, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · $253M to $270MJun 10, 2020 to Mar 12, 2021
- RAUM · $253M to $270MJun 10, 2020 to Mar 12, 2021
Signals
3 dated events
- L••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $528.3M)Dec 20, 2025 · Left the SEC roster · derived
- L••••••• C•••••• M••••••••• L•• reported RAUM $396.9M, up 47% from $270.0M (2021-03-12 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- L••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
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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