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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SEC-registered adviser
L••••••• C•••••• C••••• A•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2018 · 16 filings
SEC status approved since Apr 30, 2018
RAUM
$7.9B
reported, Item 5.F
Discretionary
0.3%
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
48
39 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$7.9B as of Mar 31, 2026
Mar 29, 2019$5.2B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)48 as of Mar 31, 2026
Mar 29, 201949 then
Private funds1 as of Mar 31, 2026
Mar 29, 20191 then
RAUM +1.5% over the last fiscal year-6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $2.6BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.3%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.5%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
- $1.0B, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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 |
|---|---|---|---|---|
| L••••••• C•••••• C••••• R••• L•• | Hedge Fund | $8.0B | 141 | Aug 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M•••• L••••••• · Chairman, Chief Executive Officer And Presidentcontrolsince 06/2008 · owns less than 5%
- J••••• S••••••• P•••••• · Chief Credit Officercontrolsince 04/2021 · owns less than 5%
- S•••• T••••• J••••••• · Chief Financial Officer & Chief Operating Officercontrolsince 11/2012 · owns less than 5%
- S•••••• P•••• H• · Head Of Bankingcontrolsince 03/2021 · owns less than 5%
- S••••••••• M•••• J••••• · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- F•••••••• M•••• L••••••• · Trusteecontrolsince 11/2006 · owns F of M••• L• F••••••• 2••• R•••••••• T••••
- M••••••• R•••••• G•• · Membercontrolsince 06/2022 · owns 75% or more of R••••••••• G•••••• P••••••• L••
- M••••••• R•••••• G•• · Membercontrolsince 06/2022 · owns 75% or more of R••••••••• L•••••• P•••••••••
- S••••• S•••••• Z•••••• · Membercontrolsince 12/2008 · owns 50% to 75% of S•••• I••••••••• C••••••• L••
Entity owners
- L••••••• C••••••• L•• · Managing Memberdirect · owns 75% or more
- D•••••• C••••••• L•• · Memberindirect · owns 75% or more of D•••••• M••••••• M••••••••• H•••••••• L••
- D•••••• M••••••• M••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of L••••••• C••••••• L••
- F•••• R••••••• T•••• C•••••• O• D•••••••• L•• · Trusteeindirect · owns F of S•••• F••••• 2••• D•••••• T••••
- G•••••• L•• · Memberindirect · owns 50% to 75% of M• M••••••••• H•••••••• L••
- M••• L• F••••••• 2••• R•••••••• T•••• · Memberindirect · owns 75% or more of G•••••• L••
- M• M••••••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of D•••••• C••••••• L••
- R••••••••• G•••••• P••••••• L•• · G•••••• Partnerindirect · owns F of R••••••••• L•••••• P•••••••••
- R••••••••• L•••••• P••••••••• · Memberindirect · owns 25% to 50% of D•••••• C••••••• L••
- S•••• F••••• 2••• D•••••• T•••• · Memberindirect · owns 75% or more of S•••• F••••• L•••••• L••
- S•••• F••••• L•••••• L•• · Memberindirect · owns 25% to 50% of S•••• I••••••••• C••••••• L••
- S•••• I••••••••• C••••••• L•• · Memberindirect · owns 25% to 50% of D•••••• C••••••• L••
Related persons
Schedule D 7.A
- D•••• W••• R••• E••••• S•••••••• L••investment advisernRAUM $16B
- L••••••• C•••••• C••••• M•••••• L••pooled vehicle sponsorn
Advisers that list L••••••• C•••••• C••••• A•••••• L•• as a related person
- 156762 n
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL7 employees
- Beverly Hills, CA5 employees
- Palm Beach, FL4 employees
- San Francisco, CA3 employees
- Atlanta, GA1 employees
- Irvine, CA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 37 to 39Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $721M to $1.0BMar 28, 2025 to Mar 31, 2026
- Employees · 47 to 48Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $35.3M to $21.7MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $7.8B to $7.9BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $7.8B to $7.9BMar 28, 2025 to Mar 31, 2026
- RAUM · $7.8B to $7.9BMar 28, 2025 to Mar 31, 2026
- Advisory employees · 36 to 37May 10, 2024 to Mar 28, 2025
- Assets in custody · $1.0B to $721MMay 10, 2024 to Mar 28, 2025
- Employees · 45 to 47May 10, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 10, 2024 to Mar 28, 2025
- Other offices · 6 to 4May 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $25.7M to $35.3MMay 10, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $8.0B to $7.8BMay 10, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $8.0B to $7.8BMay 10, 2024 to Mar 28, 2025
- RAUM · $8.0B to $7.8BMay 10, 2024 to Mar 28, 2025
- Accounts · 2 to 3Jun 13, 2023 to Mar 29, 2024
- Advisory employees · 37 to 36Jun 13, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 3Jun 13, 2023 to Mar 29, 2024
- Assets in custody · $1.4B to $1.0BJun 13, 2023 to Mar 29, 2024
- Employees · 44 to 45Jun 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $25.7MJun 13, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $9.6B to $8.0BJun 13, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $9.6B to $8.0BJun 13, 2023 to Mar 29, 2024
- RAUM · $9.6B to $8.0BJun 13, 2023 to Mar 29, 2024
- Related adviser · false to trueJun 13, 2023 to Mar 29, 2024
- Advisory employees · 39 to 37Jul 25, 2022 to Mar 31, 2023
- Assets in custody · $1.1B to $1.4BJul 25, 2022 to Mar 31, 2023
- Employees · 47 to 44Jul 25, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $8.8B to $9.6BJul 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $8.8B to $9.6BJul 25, 2022 to Mar 31, 2023
- RAUM · $8.8B to $9.6BJul 25, 2022 to Mar 31, 2023
- Advisory employees · 38 to 39Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $578M to $1.1BMar 31, 2021 to Mar 31, 2022
- Employees · 48 to 47Mar 31, 2021 to Mar 31, 2022
- Other offices · 5 to 6Mar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $6.7B to $8.8BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $6.7B to $8.8BMar 31, 2021 to Mar 31, 2022
- RAUM · $6.7B to $8.8BMar 31, 2021 to Mar 31, 2022
- Advisory employees · 42 to 38Oct 28, 2020 to Mar 31, 2021
Signals
12 dated events
- Herbert Daniel Bennett (Chief Investment Officer) no longer on Schedule A of L••••••• C•••••• C••••• A•••••• L•• (listed 2023-03-31, absent 2023-06-13)Jun 13, 2023 · Control person left · inference
- L••••••• C•••••• C••••• A•••••• L•• reported RAUM $8.8B, up 31% from $6.7B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A Gary Berkman (Chief Credit Officer) no longer on Schedule A of L••••••• C•••••• C••••• A•••••• L•• (listed 2020-10-28, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- George Christopher Mccormack (Chief Operating Officer) no longer on Schedule A of L••••••• C•••••• C••••• A•••••• L•• (listed 2020-10-28, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Parrish Stephen Jones (Chief Credit Officer) appeared on Schedule A of L••••••• C•••••• C••••• A•••••• L••Mar 31, 2021 · Control person joined · fact
- H Paul Stepan (Head Of Banking) appeared on Schedule A of L••••••• C•••••• C••••• A•••••• L••Mar 31, 2021 · Control person joined · fact
- Gil Robert Mashaal (Member) appeared on Schedule A of L••••••• C•••••• C••••• A•••••• L••Mar 31, 2021 · Control person joined · fact
- Joseph Jordan Bock (Chief Investment Officer) no longer on Schedule A of L••••••• C•••••• C••••• A•••••• L•• (listed 2020-03-30, absent 2020-10-28)Oct 28, 2020 · Control person left · inference
- L••••••• C•••••• C••••• A•••••• L•• reported RAUM $7.3B, up 41% from $5.2B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Jordan Marc Sternberg (Chief Compliance Officer) appeared on Schedule A of L••••••• C•••••• C••••• A•••••• L••Mar 29, 2019 · Control person joined · fact
- Zachary Stuart Shiff (Member) appeared on Schedule A of L••••••• C•••••• C••••• A•••••• L••Mar 29, 2019 · Control person joined · fact
- L••••••• C•••••• C••••• A•••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2018 · ria f•••• adv filing · 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
- divcore.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-861-6000reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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