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•••• 5• C•••••• P•••••••• L••
Latest filing May 19, 2026
First filing on the tape Jun 30, 2022 · 11 filings
SEC status approved since Aug 3, 2022
RAUM
$327M
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
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
25
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$327M as of May 19, 2026
Mar 31, 2023$370M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 19, 2026
Mar 31, 20230 then
Employees (5.A)11 as of May 19, 2026
Mar 31, 202375 then
Private funds25 as of May 19, 2026
Mar 31, 202321 then
RAUM -19% over the last fiscal year-4.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 19, 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
- $13.1MderivedRAUM 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
- -19%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
- Custody
- $53.0M, 5 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$327M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.0M for 5 clientsreported
- 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
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••• 5• C•••••• P••••••• F••• 1• L• | Private Equity Fund | $125M | 80 | Aug 16, 2019 |
| L•••• 5• C•••••• P••••••• F••• 2• L• | Private Equity Fund | $97.8M | 65 | Jun 30, 2022 |
| L• F•••••• C••••••••• L• | Private Equity Fund | $28.0M | 32 | Mar 31, 2022 |
| L• B•• B••• S••• S••••• N•• T••••• L•• | Private Equity Fund | $23.0M | 28 | Aug 16, 2019 |
| L•••• 5• C•••••• P••••••• C••••• F••• 2• L• | Private Equity Fund | $21.5M | 5 | Jun 30, 2022 |
| L• S••• C••••••••• L• | Private Equity Fund | $18.4M | 19 | Jun 30, 2022 |
| L• S••• C•••••••• 2• | Private Equity Fund | $13.8M | 15 | Mar 28, 2024 |
| A•• L•••• 5• S••• C••• L• | Private Equity Fund | $12.9M | 1 | Mar 31, 2022 |
| L• S••••••• C•••••••• L• | Private Equity Fund | $12.6M | 32 | Mar 31, 2022 |
| L• F••• 2• C••••• C••••••••• L• | Private Equity Fund | $9.5M | 3 | Mar 28, 2024 |
| L• B•• B••• S••• S••••• N•• O••• L•• | Private Equity Fund | $8.3M | 30 | Aug 16, 2019 |
| L• B•• B••• S••• S••••• N•• T••• L•• | Private Equity Fund | $8.3M | 30 | Aug 16, 2019 |
| L• B•• B••• S••• S••••• N•• F•••• L•• | Private Equity Fund | $8.1M | 20 | Mar 30, 2021 |
| L• B•• B••• S••• S••••• N•• F••• L•• | Private Equity Fund | $5.8M | 27 | Mar 31, 2022 |
| L• B• W••• C••••••••• L• | Private Equity Fund | $5.7M | 19 | Jun 30, 2022 |
| L• H••••• C•••••••• 2• L• | Private Equity Fund | $5.1M | 8 | Mar 31, 2023 |
| L• S••••••• C•••••••• 2• L• | Private Equity Fund | $5.0M | 8 | Mar 31, 2023 |
| L• F••• 2• C••••••••• L• | Private Equity Fund | $4.6M | 1 | Mar 28, 2024 |
| L• S••••• C••••••••• L• | Private Equity Fund | $3.4M | 7 | Jun 30, 2022 |
| L•••• 5• C•••••• P••••••• C••••• S••••••• C••••••••• L• | Private Equity Fund | $2.9M | 1 | Mar 31, 2022 |
| L• C••••• S••• C••••••••• L• | Private Equity Fund | $2.7M | 3 | Mar 31, 2023 |
| L• W••••••• C••••••••• L• | Private Equity Fund | $2.5M | 16 | Mar 30, 2021 |
| L•••• 5• C•••••• P••••••• C••••• F•••••• C••••••••• L• | Private Equity Fund | $1.1M | 3 | Mar 31, 2022 |
| L• C••••• B• W••• C••••••••• L• | Private Equity Fund | $1.0M | 2 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- K••••• C••••••••• J•••• · Managing Partnercontrolsince 01/2017 · owns 50% to 75%
- M•••••• C••••••• J••• · Chairmancontrolsince 01/2017 · owns 25% to 50%
- S••••••••• A•••• N•• · Chief Compliance Officer; Vp Of Financecontrolsince 06/2022 · owns less than 5%
Related persons
Schedule D 7.A
- L• B• W••• C•••••••• G•• L••pooled vehicle sponsorn
- L• F•••••• C•••••••• G•• L••pooled vehicle sponsorn
- L• S••••••• C•••••••• G•• L••pooled vehicle sponsorn
- L• S••• C•••••••• G•• L•pooled vehicle sponsorn
- L• W••••••• C•••••••• G•• L••pooled vehicle sponsorn
- L•••• 5• C•••••• P••••••• C••••• C•••••••• G•• L••pooled vehicle sponsorn
- L•••• 5• C•••••• P••••••• F••• 1• G•• L••pooled vehicle sponsorn
- L•••• 5• C•••••• P••••••• F••• 2• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 24, 2026employees (Item 5.A) moved from 19.0 to 11.0 (-42.0%) between the annual amendments of 2025-03-28 and 2026-03-24; the peer median change was 0.0% (393 comparable advisers, 4.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 4.3% percentile
What changed
consecutive filings, newest first
- Advisory employees · 8 to 5May 8, 2025 to Mar 24, 2026
- Employees · 19 to 11May 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $405M to $327MMay 8, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $405M to $327MMay 8, 2025 to Mar 24, 2026
- RAUM · $405M to $327MMay 8, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to May 8, 2025
- Accounts · 24 to 25Jun 14, 2024 to Mar 28, 2025
- Advisory employees · 7 to 8Jun 14, 2024 to Mar 28, 2025
- Pooled vehicle clients · 24 to 25Jun 14, 2024 to Mar 28, 2025
- Assets in custody · $53.5M to $53.0MJun 14, 2024 to Mar 28, 2025
- Employees · 27 to 19Jun 14, 2024 to Mar 28, 2025
- Private funds · 24 to 25Jun 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $427M to $405MJun 14, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $427M to $405MJun 14, 2024 to Mar 28, 2025
- RAUM · $427M to $405MJun 14, 2024 to Mar 28, 2025
- Accounts · 21 to 24Dec 26, 2023 to Mar 28, 2024
- Pooled vehicle clients · 21 to 24Dec 26, 2023 to Mar 28, 2024
- Assets in custody · $36.0M to $53.5MDec 26, 2023 to Mar 28, 2024
- Employees · 11 to 27Dec 26, 2023 to Mar 28, 2024
- Private funds · 21 to 24Dec 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $370M to $427MDec 26, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $370M to $427MDec 26, 2023 to Mar 28, 2024
- RAUM · $370M to $427MDec 26, 2023 to Mar 28, 2024
- Employees · 75 to 11May 1, 2023 to Dec 26, 2023
- Accounts · 17 to 21Jul 1, 2022 to Mar 31, 2023
- Pooled vehicle clients · 17 to 21Jul 1, 2022 to Mar 31, 2023
- Assets in custody · $24.0M to $36.0MJul 1, 2022 to Mar 31, 2023
- Employees · 102 to 75Jul 1, 2022 to Mar 31, 2023
- Private funds · 17 to 21Jul 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $278M to $370MJul 1, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $278M to $370MJul 1, 2022 to Mar 31, 2023
- RAUM · $278M to $370MJul 1, 2022 to Mar 31, 2023
- Private funds · 34 to 17Jun 30, 2022 to Jul 1, 2022
Signals
1 dated events
- L•••• 5• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•••• 5• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L•••• 5• C•••••• P•••••••• L•• · Private Equityshared crd · organization
- L•••• 5• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/level-5-capital-partnersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (773) 590-0621reportedpublic record, Form ADV, May 19, 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