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••••• A•••••••• L••

Former SEC-registered adviserJeffersonville, New YorkCRD 292378SEC 801-113078IAPD
Latest filing Jul 3, 2023
First filing on the tape Mar 30, 2018 · 14 filings
RAUM
$271M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$271M gross assets
History
14 filings and snapshots on the tape
RAUM$271M as of Mar 31, 2023
Mar 31, 2019$42.6M then
HNW client RAUM$0 as of Mar 31, 2023
Mar 31, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20190 then
Employees (5.A)2 as of Mar 31, 2023
Mar 31, 20194 then
Private funds6 as of Mar 31, 2023
Mar 31, 20194 then
RAUM -8.4% over the last fiscal year+77% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 3, 2023; 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
$45.1MderivedRAUM 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
-8.4%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$271M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••• O••••••• D••••••••• H••••••• L••Private Equity Fund$51.9M137Mar 31, 2021
      L••••• P••••••• L•Hedge Fund$28.8M20Mar 30, 2018
      L••••• A••••••• L••no longer reportedHedge Fund$11.2M2Mar 30, 2018
      L••••• T• P••••••• L••Private Equity Fund$1.8M14Mar 31, 2022
      L••••• P•••••• C•••••• L••Private Equity Fund$1.8M4Mar 30, 2018
      L••••• O••••••• S••••• D••••••••• H••••••• L••Private Equity Fund$1.2M90Mar 31, 2021
      L••••• D••••••••• H••••••• L••Private Equity Fund$75,43329Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• M••••••• A•••••• · Presidentcontrol
        since 02/2012 · owns 75% or more
      • Y••• S••••• F••• · Chief Compliance Officer
        since 09/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list L••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $271M to $271M
        May 2, 2023 to Jul 3, 2023
      • Pooled vehicle RAUM · $271M to $271M
        May 2, 2023 to Jul 3, 2023
      • RAUM · $271M to $271M
        May 2, 2023 to Jul 3, 2023
      • Accounts · 7 to 6
        Apr 30, 2022 to Mar 31, 2023
      • Advisory employees · 2 to 1
        Apr 30, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 7 to 6
        Apr 30, 2022 to Mar 31, 2023
      • Employees · 4 to 2
        Apr 30, 2022 to Mar 31, 2023
      • Discretionary RAUM · $296M to $271M
        Apr 30, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $296M to $271M
        Apr 30, 2022 to Mar 31, 2023
      • RAUM · $296M to $271M
        Apr 30, 2022 to Mar 31, 2023
      • Discretionary RAUM · $296M to $296M
        Mar 31, 2022 to Apr 30, 2022
      • Pooled vehicle RAUM · $296M to $296M
        Mar 31, 2022 to Apr 30, 2022
      • RAUM · $296M to $296M
        Mar 31, 2022 to Apr 30, 2022
      • Accounts · 6 to 7
        Mar 1, 2022 to Mar 31, 2022
      • Pooled vehicle clients · 6 to 7
        Mar 1, 2022 to Mar 31, 2022
      • Assets in custody · 2302650.0 to unset
        Mar 1, 2022 to Mar 31, 2022
      • Private funds · 5 to 6
        Mar 1, 2022 to Mar 31, 2022
      • Discretionary RAUM · $229M to $296M
        Mar 1, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $229M to $296M
        Mar 1, 2022 to Mar 31, 2022
      • RAUM · $229M to $296M
        Mar 1, 2022 to Mar 31, 2022
      • HQ city · NEW YORK to JEFFERSONVILLE
        Apr 29, 2021 to Mar 1, 2022
      • Assets in custody · unset to 2302650.0
        Mar 31, 2021 to Apr 29, 2021
      • Private funds · 6 to 5
        Mar 31, 2021 to Apr 29, 2021
      • Discretionary RAUM · $228M to $229M
        Mar 31, 2021 to Apr 29, 2021
      • Pooled vehicle RAUM · $228M to $229M
        Mar 31, 2021 to Apr 29, 2021
      • RAUM · $228M to $229M
        Mar 31, 2021 to Apr 29, 2021
      • Accounts · 4 to 6
        May 4, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 4 to 6
        May 4, 2020 to Mar 31, 2021
      • Private funds · 4 to 6
        May 4, 2020 to Mar 31, 2021
      • Discretionary RAUM · $48.6M to $228M
        May 4, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $48.6M to $228M
        May 4, 2020 to Mar 31, 2021
      • RAUM · $48.6M to $228M
        May 4, 2020 to Mar 31, 2021
      • Discretionary RAUM · $42.6M to $48.6M
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $42.6M to $48.6M
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $42.6M to $48.6M
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $45.6M to $42.6M
        Dec 7, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $45.6M to $42.6M
        Dec 7, 2018 to Mar 31, 2019
      • RAUM · $45.6M to $42.6M
        Dec 7, 2018 to Mar 31, 2019
      Signals
      1 dated events
      • L••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 30, 2018 · 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