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•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 26, 2020 · 15 filings
SEC status approved since Jul 27, 2020
RAUM
$288M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$288M as of Mar 31, 2026
Mar 31, 2021$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)4 as of Mar 31, 2026
Mar 31, 20216 then
Private funds3 as of Mar 31, 2026
Mar 31, 20211 then
RAUM -14% over the last fiscal year-4.0% 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
- $95.9MderivedRAUM 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
- -14%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$288M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• S•••• I• L• | Hedge Fund | $118M | 23 | Nov 27, 2018 |
| L••••• S•••• I•• L• | Hedge Fund | $42.5M | 24 | Mar 30, 2022 |
| L••••• I• S•• 1• L• | Hedge Fund | $30.6M | 2 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• J••••••• A•••• · Manager, Ccocontrolsince 10/2018 · owns less than 5%
- M•••••• G••••••• N•••• · Trustee Of T•• B•••••• • M••••• F••••• T••••controlsince 05/2013 · owns less than 5%
- L•••••• J••••••• A•••• · Trustee Of J•••••• A•• S••••• L• S••• F••••• T••••controlsince 06/2002 · owns F of J•••••• A•• S••••• L• S••• F••••• T••••
- M•••••• G••••••• N•••• · Trustee Of T•• B•••••• • M••••• F••••• T••••controlsince 05/2013 · owns F of T•• B•••••• • M••••• F••••• T••••
- P••••• R•••••• D••••• · Trustee Of The P•••• F••••• T••••controlsince 05/2019 · owns F of P•••• F••••• T••••
- P••••• R•••••• D••••• · Trustee Of P•••• F••••• T••••since 05/2019 · owns less than 5%
Entity owners
- J•••••• A•• S••••• L• S••• F••••• T•••• · Memberdirect · owns 25% to 50%
- P•••• F••••• T•••• · Memberdirect · owns 25% to 50%
- T•• B•••••• • M••••• F••••• T•••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••• V•••••• A••••••••• I• L••pooled vehicle sponsorn
- A••••• V•••••• C•••••• I• G•• L••investment adviserpooled vehicle sponsorn
- A••••• V•••••• C•••••• I•• G•• L••pooled vehicle sponsorn
- A••••• Capital Group Management, LLCinvestment adviserpooled vehicle sponsornRAUM $660M
- A••••• V•••••• M••••••••• I•••investment advisern
- E••••••• P•••••••• L••pooled vehicle sponsorn
- L••••• S•••• I• G•• L••pooled vehicle sponsory
- L••••• S•••• I• G•• L••pooled vehicle sponsory
- R•••••••• S••••••••• L••broker-dealern
Advisers that list L••••• C•••••• M••••••••• L•• as a related person
- 317047 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-28, no on the filing of 2026-03-31peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 28, 2025 to Mar 31, 2026
- Custody of client assets · true to falseMar 28, 2025 to Mar 31, 2026
- Employees · 5 to 4Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $334M to $288MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $334M to $288MMar 28, 2025 to Mar 31, 2026
- RAUM · $334M to $288MMar 28, 2025 to Mar 31, 2026
- Assets in custody · $192M to $288MOct 10, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $256M to $334MOct 10, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $256M to $334MOct 10, 2024 to Mar 28, 2025
- RAUM · $256M to $334MOct 10, 2024 to Mar 28, 2025
- HQ city · SAN RAFAEL to LOS ANGELESMar 29, 2024 to Jun 5, 2024
- Other offices · 1 to 0Mar 29, 2024 to Jun 5, 2024
- Advisory employees · 6 to 5Jun 5, 2024 to Jun 5, 2024
- Employees · 6 to 5Jun 5, 2024 to Jun 5, 2024
- Advisory employees · 7 to 6May 8, 2023 to Mar 29, 2024
- BD registered reps · 2 to 1May 8, 2023 to Mar 29, 2024
- Assets in custody · $266M to $192MMay 8, 2023 to Mar 29, 2024
- Employees · 7 to 6May 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $325M to $256MMay 8, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $325M to $256MMay 8, 2023 to Mar 29, 2024
- RAUM · $325M to $256MMay 8, 2023 to Mar 29, 2024
- Assets in custody · $252M to $266MJun 3, 2022 to Mar 31, 2023
- Other offices · 2 to 1Jun 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $377M to $325MJun 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $377M to $325MJun 3, 2022 to Mar 31, 2023
- RAUM · $377M to $325MJun 3, 2022 to Mar 31, 2023
- HQ city · EL SEGUNDO to SAN RAFAELMar 31, 2022 to Jun 3, 2022
- Accounts · 1 to 3Mar 22, 2022 to Mar 31, 2022
- Advisory employees · 6 to 7Mar 22, 2022 to Mar 31, 2022
- Pooled vehicle clients · 1 to 3Mar 22, 2022 to Mar 31, 2022
- Assets in custody · unset to 251840495.0Mar 22, 2022 to Mar 31, 2022
- Custody of client assets · false to trueMar 22, 2022 to Mar 31, 2022
- Employees · 6 to 7Mar 22, 2022 to Mar 31, 2022
- Private funds · 1 to 3Mar 22, 2022 to Mar 31, 2022
- Discretionary RAUM · $218M to $377MMar 22, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $218M to $377MMar 22, 2022 to Mar 31, 2022
- RAUM · $218M to $377MMar 22, 2022 to Mar 31, 2022
- Private funds · 2 to 1Jun 26, 2020 to Mar 31, 2021
- Discretionary RAUM · $165M to $218MJun 26, 2020 to Mar 31, 2021
Signals
4 dated events
- Katherine Anne Woodworth (Cco, Vp Of Legal) no longer on Schedule A of L••••• C•••••• M••••••••• L•• (listed 2024-06-12, absent 2024-10-10)Oct 10, 2024 · Control person left · inference
- L••••• C•••••• M••••••••• L•• reported RAUM $376.6M, up 73% from $217.9M (2022-03-22 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Katherine Annie Woodworth (Cco, Vp Of Legal) appeared on Schedule A of L••••• C•••••• M••••••••• L••Feb 8, 2022 · Control person joined · fact
- L••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- L••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/liquid-stockreportedpublic record, Form ADV, Sep 18, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-968-5015reportedpublic 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