DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L•••••• R••••••• L••••••
Latest filing Apr 22, 2026
First filing on the tape Jul 10, 2019 · 12 filings
SEC status approved since Aug 9, 2019
RAUM
$1.2B
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.2B as of Apr 22, 2026
Mar 30, 2020$227M then
HNW client RAUM$0 as of Apr 22, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Apr 22, 2026
Mar 30, 20200 then
Employees (5.A)10 as of Apr 22, 2026
Mar 30, 20206 then
Private funds2 as of Apr 22, 2026
Mar 30, 20201 then
RAUM -2.2% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 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
- $579MderivedRAUM 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
- -2.2%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- 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=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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••• G•••• V••••• I• | Hedge Fund | $939M | 43 | Apr 8, 2019 |
| W•• Y••• L••• | Hedge Fund | $197M | 2 | Oct 20, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C•••• W•••• S•• W•• · Chief Operating Officer, Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- J••• Z•••• · Chief Investment Officercontrolsince 04/2018 · owns less than 5%
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
- Discretionary RAUM · $1.2B to $1.2BApr 30, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $1.2B to $1.2BApr 30, 2025 to Mar 16, 2026
- RAUM · $1.2B to $1.2BApr 30, 2025 to Mar 16, 2026
- Advisory employees · 6 to 7Mar 26, 2024 to Apr 30, 2025
- Employees · 9 to 10Mar 26, 2024 to Apr 30, 2025
- Financial planning clients · unset to Mar 26, 2024 to Apr 30, 2025
- HQ state · unset to Mar 26, 2024 to Apr 30, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 26, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $1.1B to $1.2BMar 26, 2024 to Apr 30, 2025
- RAUM · $1.1B to $1.2BMar 26, 2024 to Apr 30, 2025
- Advisory employees · 5 to 6Mar 27, 2023 to Mar 26, 2024
- Employees · 5 to 9Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.2B to $1.1BMar 27, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.2B to $1.1BMar 27, 2023 to Mar 26, 2024
- RAUM · $1.2B to $1.1BMar 27, 2023 to Mar 26, 2024
- Advisory employees · 4 to 5Mar 17, 2022 to Mar 27, 2023
- Employees · 6 to 5Mar 17, 2022 to Mar 27, 2023
- Discretionary RAUM · $831M to $1.2BMar 17, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $831M to $1.2BMar 17, 2022 to Mar 27, 2023
- RAUM · $831M to $1.2BMar 17, 2022 to Mar 27, 2023
- Advisory employees · 6 to 4Oct 20, 2021 to Mar 17, 2022
- Employees · 8 to 6Oct 20, 2021 to Mar 17, 2022
- Discretionary RAUM · $740M to $831MOct 20, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $740M to $831MOct 20, 2021 to Mar 17, 2022
- RAUM · $740M to $831MOct 20, 2021 to Mar 17, 2022
- Corporate clients · 1.0 to unsetMar 17, 2021 to Oct 20, 2021
- Pooled vehicle clients · 1 to 2Mar 17, 2021 to Oct 20, 2021
- Private funds · 1 to 2Mar 17, 2021 to Oct 20, 2021
- Discretionary RAUM · $733M to $740MMar 17, 2021 to Oct 20, 2021
- Pooled vehicle RAUM · $561M to $740MMar 17, 2021 to Oct 20, 2021
- RAUM · $733M to $740MMar 17, 2021 to Oct 20, 2021
- Advisory employees · 4 to 6Mar 30, 2020 to Mar 17, 2021
- Employees · 6 to 8Mar 30, 2020 to Mar 17, 2021
- Discretionary RAUM · $227M to $733MMar 30, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $160M to $561MMar 30, 2020 to Mar 17, 2021
- RAUM · $227M to $733MMar 30, 2020 to Mar 17, 2021
- Accounts · 1 to 2Nov 4, 2019 to Mar 30, 2020
- Advisory employees · 3 to 4Nov 4, 2019 to Mar 30, 2020
- Corporate clients · unset to 1.0Nov 4, 2019 to Mar 30, 2020
- Employees · 5 to 6Nov 4, 2019 to Mar 30, 2020
Signals
4 dated events
- L•••••• R••••••• L•••••• reported RAUM $1.2B, up 39% from $830.6M (2022-03-17 to 2023-03-27)Mar 27, 2023 · ria raum c•••ge · derived
- L•••••• R••••••• L•••••• reported RAUM $733.0M, up 223% from $227.2M (2020-03-30 to 2021-03-17)Mar 17, 2021 · ria raum c•••ge · derived
- L•••••• R••••••• L•••••• reported RAUM $227.2M, up 310% from $55.4M (2019-11-04 to 2020-03-30)Mar 30, 2020 · ria raum c•••ge · derived
- L•••••• R••••••• L•••••• filed its initial SEC registration (Form ADV)Jul 10, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 852-3618-9070reportedpublic record, Form ADV, Apr 22, 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