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••• L••
Latest filing Mar 19, 2021
First filing on the tape Jul 19, 2019 · 7 filings
RAUM
$2.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: $2.1M
HNW client RAUM: $2.1M
State-registered IARs (5.B.3)1 as of Mar 19, 2021
Mar 17, 20201 then
Employees (5.A)5 as of Mar 19, 2021
Mar 17, 20207 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2021; every figure names its basis
- RAUM per advisor
- $2.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 businesses and institutionsreportedItem 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)
- 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
- High-net-worth individuals$2.1M100%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• B•••• · Principalcontrolsince 02/2016 · owns 25% to 50%
- H••••• M••••••• J•• · Principal And Chief Compliance Officercontrolsince 03/2019 · owns 25% to 50%
- J•••••• M•••••• R•••••• · Shareholdersince 07/2019 · owns 5% to 10%
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 · 1 to 2Jul 6, 2020 to Mar 19, 2021
- Advisory employees · 4 to 3Jul 6, 2020 to Mar 19, 2021
- Advisory activities · 3 to 2Jul 6, 2020 to Mar 19, 2021
- HNW clients · 0 to 1Jul 6, 2020 to Mar 19, 2021
- Employees · 7 to 5Jul 6, 2020 to Mar 19, 2021
- Discretionary RAUM · $1.3M to $2.1MJul 6, 2020 to Mar 19, 2021
- HNW RAUM · unset to 2069524.0Jul 6, 2020 to Mar 19, 2021
- RAUM · $1.3M to $2.1MJul 6, 2020 to Mar 19, 2021
- Accounts · unset to 1.0Mar 17, 2020 to Jul 6, 2020
- Discretionary RAUM · unset to 1251458.0Mar 17, 2020 to Jul 6, 2020
- Non-discretionary RAUM · unset to 0.0Mar 17, 2020 to Jul 6, 2020
- RAUM · unset to 1251458.0Mar 17, 2020 to Jul 6, 2020
- Accounts · 3.0 to unsetDec 19, 2019 to Mar 17, 2020
- Individual clients · 1 to 0Dec 19, 2019 to Mar 17, 2020
- Discretionary RAUM · 1788291.0 to unsetDec 19, 2019 to Mar 17, 2020
- Individual RAUM · $1.8M to $0Dec 19, 2019 to Mar 17, 2020
- Non-discretionary RAUM · 0.0 to unsetDec 19, 2019 to Mar 17, 2020
- RAUM · 1788291.0 to unsetDec 19, 2019 to Mar 17, 2020
- Advisory employees · 2 to 4Jul 19, 2019 to Dec 19, 2019
- BD registered reps · 0 to 1Jul 19, 2019 to Dec 19, 2019
- Employees · 5 to 7Jul 19, 2019 to Dec 19, 2019
Signals
1 dated events
- L•••••• C••• L•• 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