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•••••• A•••• M••••••••• L••
Latest filing Mar 27, 2019
First filing on the tape May 1, 2018 · 2 filings
RAUM
$92.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$80.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$11.6M gross assets
History
2 filings and snapshots on the tape
RAUM$92.2M as of Mar 27, 2019
May 1, 2018$90.5M then
HNW client RAUM$80.6M as of Mar 27, 2019
May 1, 2018$80.0M then
State-registered IARs (5.B.3)0 as of Mar 27, 2019
May 1, 20180 then
Employees (5.A)9 as of Mar 27, 2019
May 1, 20189 then
Private funds1 as of Mar 27, 2019
May 1, 20181 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2019; 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
- $46.1MderivedRAUM 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
- 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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $11.6M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$80.6M87%
- Pooled investment vehicles$11.6M13%
- 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
- $11.6M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• A••••••• R••••• S••••••• L• | Hedge Fund | $11.6M | 8 | May 1, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••• B•••• · Senior Research Analyst And Membercontrolsince 03/2018 · owns 5% to 10%
- K••••• A••••••••• E• · Managing Directorcontrolsince 03/2018 · owns less than 5%
- L••• T•••••• H•••••• · Managing Membercontrolsince 03/2018 · owns 50% to 75%
- O••••• P••••• M••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- S••••••• S•••••• D•••• · Managing Director And Membercontrolsince 03/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
- L•• C•••••• A•••• H••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $10.5M to $11.6MMay 1, 2018 to Mar 27, 2019
- Discretionary RAUM · $90.5M to $92.2MMay 1, 2018 to Mar 27, 2019
- HNW RAUM · $80.0M to $80.6MMay 1, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $10.5M to $11.6MMay 1, 2018 to Mar 27, 2019
- RAUM · $90.5M to $92.2MMay 1, 2018 to Mar 27, 2019
Signals
2 dated events
- E. Alexander Kipka (Managing Director) appeared on Schedule A of L•• C•••••• A•••• M••••••••• L••Mar 27, 2019 · Control person joined · fact
- L•• C•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 1, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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