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•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 298385SEC 801-114044IAPD
Latest filing Apr 3, 2020
First filing on the tape Aug 27, 2018 · 6 filings
RAUM
$5.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$5.9M as of Apr 3, 2020
Apr 15, 2019$4.2M then
HNW client RAUM$5.9M as of Apr 3, 2020
Apr 15, 2019$4.2M then
State-registered IARs (5.B.3)0 as of Apr 3, 2020
Aug 27, 20180 then
Employees (5.A)1 as of Apr 3, 2020
Aug 27, 20181 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 3, 2020; 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
$653,218derivedHNW RAUM over HNW clients
Average account
$653,218derivedRAUM 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 businesses and institutionsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.9M100%
Individual clients
n/areported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• A••••••• M••••• · Managing Member, Chief Compliance Officercontrol
        since 05/2018 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 6 to 9
        May 23, 2019 to Apr 3, 2020
      • Discretionary RAUM · $4.2M to $5.9M
        May 23, 2019 to Apr 3, 2020
      • HNW RAUM · $4.2M to $5.9M
        May 23, 2019 to Apr 3, 2020
      • RAUM · $4.2M to $5.9M
        May 23, 2019 to Apr 3, 2020
      • Accounts · 6 to 9
        Apr 3, 2020 to Apr 3, 2020
      • Accounts · unset to 6.0
        Aug 27, 2018 to Apr 15, 2019
      • HNW clients · unset to 6.0
        Aug 27, 2018 to Apr 15, 2019
      • Discretionary RAUM · unset to 4200000.0
        Aug 27, 2018 to Apr 15, 2019
      • HNW RAUM · unset to 4200000.0
        Aug 27, 2018 to Apr 15, 2019
      • Non-discretionary RAUM · unset to 0.0
        Aug 27, 2018 to Apr 15, 2019
      • RAUM · unset to 4200000.0
        Aug 27, 2018 to Apr 15, 2019
      Signals
      1 dated events
      • L••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Aug 27, 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