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•••• L••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 304680SEC 801-117140IAPD
Latest filing Nov 9, 2022
First filing on the tape Jul 9, 2019 · 5 filings
RAUM
$85.6M
reported, Item 5.F
Discretionary
54%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$85.6M as of Mar 30, 2022
Mar 26, 2020$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 26, 20200 then
Employees (5.A)3 as of Mar 30, 2022
Mar 26, 20203 then
Private funds: no history
RAUM +7.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 9, 2022; 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
$28.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
54%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
+7.6%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 vehicles, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$85.6M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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
      • C•••• M••••• M••• · Cco / Coo / Managing Membercontrol
        since 05/2019 · owns 25% to 50%
      • J•••••• M•••• A••• · Cio / Managing Membercontrol
        since 05/2019 · owns 25% to 50%
      • O•••••••• D••••• J••••• · Chief Risk Officer / Managing Membercontrol
        since 05/2019 · owns 25% to 50%
      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
      • Accounts · 7 to 3
        Mar 29, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 7 to 3
        Mar 29, 2021 to Mar 30, 2022
      • Discretionary RAUM · $0 to $45.9M
        Mar 29, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $79.5M to $39.7M
        Mar 29, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $79.5M to $85.6M
        Mar 29, 2021 to Mar 30, 2022
      • RAUM · $79.5M to $85.6M
        Mar 29, 2021 to Mar 30, 2022
      • Advisory activities · 3 to 2
        Mar 26, 2020 to Mar 29, 2021
      • Pooled vehicle clients · 6 to 7
        Mar 26, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $107M to $79.5M
        Mar 26, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $107M to $79.5M
        Mar 26, 2020 to Mar 29, 2021
      • RAUM · $107M to $79.5M
        Mar 26, 2020 to Mar 29, 2021
      • Accounts · 6 to 7
        Jul 9, 2019 to Mar 26, 2020
      • Advisory activities · 2 to 3
        Jul 9, 2019 to Mar 26, 2020
      • Employees · 4 to 3
        Jul 9, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $126M to $107M
        Jul 9, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $126M to $107M
        Jul 9, 2019 to Mar 26, 2020
      • RAUM · $126M to $107M
        Jul 9, 2019 to Mar 26, 2020
      Signals
      2 dated events
      • Raul Guimaraes (Managing Member) no longer on Schedule A of L•••• L••• P••••••• L•• (listed 2021-03-29, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • L•••• L••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 9, 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