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•••• M•••••••••
Legal name L••••••••• A•••• M••••••••• A••••••••• G•••••• D• F••••• S•
Latest filing Mar 25, 2025
First filing on the tape Sep 27, 2018 · 9 filings
SEC status approved since Mar 6, 2019
RAUM
$2.3B
reported, Item 5.F
Discretionary
15%
of RAUM
Private clients
14%
$320M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
93
49 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.3B as of Mar 25, 2025
Mar 31, 2020$6.0B then
HNW client RAUM$320M as of Mar 25, 2025
Mar 31, 2020$33.3M then
State-registered IARs (5.B.3)0 as of Mar 25, 2025
Mar 31, 20200 then
Employees (5.A)93 as of Mar 25, 2025
Mar 31, 202076 then
Private funds: no history
RAUM -18% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $13.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%derivedof RAUM
- Institutional
- 62%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
- -18%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, educational seminarsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.2B54%
- Other investment advisers$551M24%
- High-net-worth individuals$320M14%
- Insurance companies$190M8.3%
- Individual clients
- n/areported
- HNW clients
- 40reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 167reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• L•••••••• I•••••• · Chief Executive Officercontrolsince 07/2011 · owns less than 5%
- S••••••• L•••• F•••••••• · Chief Compliance Officercontrolsince 12/2006 · owns less than 5%
- V••• E••••••••• L••••••• · Ownercontrolsince 12/2012 · owns 25% to 50% of R••••• S• L•••••••
Entity owners
- L••• A•••• M••••••••• S••• · Ownerdirect · owns 75% or more
- C•••••••• S••• · Shareholderindirect · owns 25% to 50% of L••••••••• S••
- C•••••••• F••••••••• · Ownerindirect · owns 25% to 50% of L••• A•••• M••••••••• S•••
- L••••••••• S•• · Ownerindirect · owns 75% or more of L••• A•••• M••••••••• S•••
- R••••• S• L••••••• · Ownerindirect · owns 25% to 50% of L••••••••• S••
Related persons
Schedule D 7.A
- L••••••••• S••• C•••••••• D• B••••broker-dealercustodiann
- L••••••••• S••••••••• U• L••broker-dealern
- L• A••••••• S••investment advisercustodiann
Advisers that list L••••••••• A•••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 157 to 167Mar 27, 2024 to Mar 25, 2025
- Advisory employees · 44 to 49Mar 27, 2024 to Mar 25, 2025
- HNW clients · 31 to 40Mar 27, 2024 to Mar 25, 2025
- Employees · 89 to 93Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 25, 2025
- HQ state · unset to Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $353M to $336MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $364M to $320MMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $2.5B to $2.0BMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $1.6B to $1.2BMar 27, 2024 to Mar 25, 2025
- RAUM · $2.8B to $2.3BMar 27, 2024 to Mar 25, 2025
- Accounts · 83 to 157Jun 19, 2023 to Mar 27, 2024
- Advisory employees · 38 to 44Jun 19, 2023 to Mar 27, 2024
- Charity clients · 33.0 to unsetJun 19, 2023 to Mar 27, 2024
- Corporate clients · 5.0 to unsetJun 19, 2023 to Mar 27, 2024
- HNW clients · 34 to 31Jun 19, 2023 to Mar 27, 2024
- Individual clients · 1.0 to unsetJun 19, 2023 to Mar 27, 2024
- Pension plan clients · 3 to 8Jun 19, 2023 to Mar 27, 2024
- Employees · 77 to 89Jun 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $406M to $353MJun 19, 2023 to Mar 27, 2024
- HNW RAUM · $61.5M to $364MJun 19, 2023 to Mar 27, 2024
- Individual RAUM · 212110.0 to unsetJun 19, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.5B to $2.5BJun 19, 2023 to Mar 27, 2024
- Pension RAUM · $106M to $1.6BJun 19, 2023 to Mar 27, 2024
- RAUM · $1.9B to $2.8BJun 19, 2023 to Mar 27, 2024
- Accounts · 60 to 83Mar 24, 2022 to Mar 31, 2023
- Charity clients · 13 to 33Mar 24, 2022 to Mar 31, 2023
- Corporate clients · 31 to 5Mar 24, 2022 to Mar 31, 2023
- HNW clients · 12 to 34Mar 24, 2022 to Mar 31, 2023
- Individual clients · unset to 1.0Mar 24, 2022 to Mar 31, 2023
- Pension plan clients · unset to 3.0Mar 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $406MMar 24, 2022 to Mar 31, 2023
- HNW RAUM · $35.7M to $61.5MMar 24, 2022 to Mar 31, 2023
- Individual RAUM · unset to 212110.0Mar 24, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $1.5BMar 24, 2022 to Mar 31, 2023
- Pension RAUM · unset to 106165081.0Mar 24, 2022 to Mar 31, 2023
- RAUM · $1.3B to $1.9BMar 24, 2022 to Mar 31, 2023
- Accounts · 131 to 60Apr 1, 2021 to Mar 24, 2022
- Charity clients · 12 to 13Apr 1, 2021 to Mar 24, 2022
- Corporate clients · 43 to 31Apr 1, 2021 to Mar 24, 2022
Signals
6 dated events
- L••••••••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $2.3B)Mar 2, 2026 · Left the SEC roster · derived
- L••••••••• A•••• M••••••••• reported RAUM $2.8B, up 49% from $1.9B (2023-06-19 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- L••••••••• A•••• M••••••••• reported RAUM $1.9B, up 51% from $1.3B (2022-03-24 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- L••••••••• A•••• M••••••••• reported RAUM $1.3B, down 80% from $6.2B (2021-04-01 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- L••••••••• A•••• M••••••••• reported RAUM $6.0B, up 1148% from $476.9M (2018-09-27 to 2018-12-20)Dec 20, 2018 · RAUM change · derived
- L••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Sep 27, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••••• A•••• M••••••••• · Private Equityshared crd · intermediary
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