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••••• I•••

Former SEC-registered adviserMiami, FloridaCRD 301546SEC 801-117205IAPD
Latest filing Aug 13, 2019
First filing on the tape Jul 19, 2019 · 2 filings
RAUM
$743M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
14%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$462M gross assets
History
2 filings and snapshots on the tape
RAUM$743M as of Aug 13, 2019
Jul 19, 2019$743M then
HNW client RAUM$108M as of Aug 13, 2019
Jul 19, 2019$108M then
State-registered IARs (5.B.3)0 as of Aug 13, 2019
Jul 19, 20190 then
Employees (5.A)4 as of Aug 13, 2019
Jul 19, 20194 then
Private funds2 as of Aug 13, 2019
Jul 19, 20192 then
Practice profile
derived from the filing of Aug 13, 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
$108MderivedHNW RAUM over HNW clients
Average account
$74.3MderivedRAUM 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
unknownderived2 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
$743M, 10 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)
  • 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
  • Pooled investment vehicles$636M86%
  • High-net-worth individuals$108M14%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$743M for 10 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• C• H••••••••• F••• U•• L•Hedge Fund$00Jul 19, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• T••••• H••••• · Director, Chief Compliance Officercontrol
        since 11/2017 · owns less than 5%
      • G••••• M••••••• C•••••• · Directorcontrol
        since 03/2019 · owns less than 5%
      • H••••••• E•••••••• R••• · Directorcontrol
        since 09/2016 · owns less than 5%
      • S••••• A••••••••• A••••••• D• L••• G• D• S•••• · Directorcontrol
        since 09/2016 · owns less than 5%
      • H••••••• E•••••••• R••• · Managing Membercontrol
        since 08/2017 · owns 75% or more of L•••• H••••••• L••
      Entity owners
      • L•••• H••••••• L•• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Rio De Janeiro, Brazil2 employees
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • L•••• C••••• I••• filed its initial SEC registration (Form ADV)
        Jul 19, 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.
      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