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••••• I••••••••• M••••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Nov 12, 2019 · 17 filings
SEC status approved since Dec 13, 2019
RAUM
$1.9B
reported, Item 5.F
Discretionary
62%
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
447
35 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.9B as of Jun 29, 2026
Jun 24, 2020$707M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 24, 20200 then
Employees (5.A)447 as of Jun 29, 2026
Jun 24, 202089 then
Private funds1 as of Jun 29, 2021
Jun 24, 20201 then
RAUM -27% over the last fiscal year+29% a year over threeIARs 0 to 0offices 5 to 3
Practice profile
derived from the filing of Jun 29, 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
- $968MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%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
- 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)
- 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$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=0.62 institutional_share=0.0 related_bd=true related_bank=true bd_reps=30.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• D••• O••••••••• M••••• F••• L•no longer reported | Real Estate Fund | $0 | 13 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• A•••••• · Chief Accounting Officercontrolsince 01/2020 · owns less than 5%
- F••••• J••••• P•••• · Chief Executive Officercontrolsince 01/2020 · owns less than 5%
- H••••••••• M••••••• E••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
Entity owners
- L••••• R••• E••••• C•••••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
- O•• C••••••••• M••••••• S••••••••• L•• · Majority Shareholderindirect · owns 75% or more of O••• H••••••• L••
- O•• E••••• H•••••••• L•• · Majority Shareholderindirect · owns 75% or more of O•• C••••••••• M••••••• S••••••••• L••
- O•• O••• H•••••••• L•• · Majority Shareholderindirect · owns 75% or more of O•• E••••• H•••••••• L••
- O••• H••••••• L•• · Majority Shareholderindirect · owns 75% or more of L••••• R••• E••••• C•••••• H•••••••• L••
- O••• C•••••• M••••••• L•• · Majority Shareholderindirect · owns 75% or more of O•• O••• H•••••••• L••
- O••• C••••••••• · Majority Shareholderindirect · owns 75% or more of O••• C••••••••• U•• · public reporting company
- O••• C••••••••• U•• · Majority Shareholderindirect · owns 75% or more of O••• C•••••• M••••••• L••
Related persons
Schedule D 7.A
- L••••• S••••••••• L••broker-dealern
- N•• C•••••• I••••••••• A•••••••• L••investment advisernRAUM $6.6B
- O••• A•••••••• L••investment adviserbanknRAUM $9.6B
Advisers that list L••••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX8 employees
- Columbus, OH4 employees
- New York, NY4 employees
- London, United Kingdom2 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 2Jun 27, 2025 to Jun 29, 2026
- Advisory employees · 41 to 35Jun 27, 2025 to Jun 29, 2026
- Advisory activities · 2 to 1Jun 27, 2025 to Jun 29, 2026
- BD registered reps · 41 to 30Jun 27, 2025 to Jun 29, 2026
- Employees · 454 to 447Jun 27, 2025 to Jun 29, 2026
- Discretionary RAUM · $1.1B to $1.2BJun 27, 2025 to Jun 29, 2026
- Non-discretionary RAUM · $908M to $731MJun 27, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $1.1B to $1.2BJun 27, 2025 to Jun 29, 2026
- RAUM · $2.0B to $1.9BJun 27, 2025 to Jun 29, 2026
- Accounts · 2 to 3Jun 27, 2024 to Jun 27, 2025
- Advisory employees · 42 to 41Jun 27, 2024 to Jun 27, 2025
- BD registered reps · 45 to 41Jun 27, 2024 to Jun 27, 2025
- Employees · 422 to 454Jun 27, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jun 27, 2024 to Jun 27, 2025
- Other offices · 4 to 3Jun 27, 2024 to Jun 27, 2025
- Discretionary RAUM · $1.4B to $1.1BJun 27, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $752M to $908MJun 27, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $1.4B to $1.1BJun 27, 2024 to Jun 27, 2025
- RAUM · $2.1B to $2.0BJun 27, 2024 to Jun 27, 2025
- Accounts · 3 to 2Oct 6, 2023 to Jun 27, 2024
- Advisory employees · 53 to 42Oct 6, 2023 to Jun 27, 2024
- BD registered reps · 50 to 45Oct 6, 2023 to Jun 27, 2024
- Employees · 445 to 422Oct 6, 2023 to Jun 27, 2024
- Other offices · 5 to 4Oct 6, 2023 to Jun 27, 2024
- Discretionary RAUM · $2.7B to $1.4BOct 6, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $9.0M to $752MOct 6, 2023 to Jun 27, 2024
- Pooled vehicle RAUM · $1.1B to $1.4BOct 6, 2023 to Jun 27, 2024
- RAUM · $2.7B to $2.1BOct 6, 2023 to Jun 27, 2024
- Accounts · 1 to 3Jan 10, 2023 to Jun 29, 2023
- Advisory activities · 1 to 2Jan 10, 2023 to Jun 29, 2023
- BD registered reps · 54 to 50Jan 10, 2023 to Jun 29, 2023
- Business name · L••••• I••••••••• M••••••••• to L••••• I••••••••• M••••••••• L••Jan 10, 2023 to Jun 29, 2023
- Employees · 458 to 445Jan 10, 2023 to Jun 29, 2023
- Legal name · O••• I••••••••• M••••••••• L•• to L••••• I••••••••• M••••••••• L••Jan 10, 2023 to Jun 29, 2023
- Other offices · 2 to 5Jan 10, 2023 to Jun 29, 2023
- Discretionary RAUM · $1.1B to $2.7BJan 10, 2023 to Jun 29, 2023
- Non-discretionary RAUM · $0 to $9.0MJan 10, 2023 to Jun 29, 2023
- Pooled vehicle RAUM · $1.1B to $1.1BJan 10, 2023 to Jun 29, 2023
- RAUM · $1.1B to $2.7BJan 10, 2023 to Jun 29, 2023
- Accounts · 5 to 1Jun 29, 2021 to Jun 28, 2022
Signals
16 dated events
- Joseph James Henson (General Counsel) no longer on Schedule A of L••••• I••••••••• M••••••••• L•• (listed 2023-10-06, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- Marie Monica Medrano (Chief Compliance Officer) no longer on Schedule A of L••••• I••••••••• M••••••••• L•• (listed 2023-07-05, absent 2023-10-06)Oct 6, 2023 · Control person left · inference
- Elissa Michele Halickman (Chief Compliance Officer) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Oct 6, 2023 · Control person joined · fact
- Peter James Flynn (Chief Executive Officer) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Jul 5, 2023 · Control person joined · fact
- Peter Michael Larsen (President) no longer on Schedule A of L••••• I••••••••• M••••••••• L•• (listed 2023-01-10, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- L••••• I••••••••• M••••••••• L•• reported RAUM $2.7B, up 136% from $1.1B (2023-01-10 to 2023-06-29)Jun 29, 2023 · RAUM change · derived
- Marie Monica Medrano (Chief Compliance Officer) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Nov 7, 2022 · Control person joined · fact
- Gozum Precilla Torres (Senior Managing Director) no longer on Schedule A of L••••• I••••••••• M••••••••• L•• (listed 2021-06-29, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Gozum Precilla Torres (Senior Managing Director) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Jun 29, 2021 · Control person joined · fact
- Joseph Kevin Mainelli (Senior Managing Director) no longer on Schedule A of L••••• I••••••••• M••••••••• L•• (listed 2020-11-03, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Anthony James Briggs (Chief Accounting Officer) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Jun 29, 2021 · Control person joined · fact
- L••••• I••••••••• M••••••••• L•• reported RAUM $905.5M, up 28% from $706.8M (2020-11-03 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- Peter James Flynn (Chief Executive Officer) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Jan 30, 2020 · Control person joined · fact
- Peter Michael Larsen (President) appeared on Schedule A of L••••• I••••••••• M••••••••• L••Jan 30, 2020 · Control person joined · fact
- John Timothy Dobyns (Assistant Secretary) no longer on Schedule A of L••••• I••••••••• M••••••••• L•• (listed 2019-11-13, absent 2020-01-30)Jan 30, 2020 · Control person left · inference
- O••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 12, 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
- Principal office phone
- 212-317-5700reportedpublic record, Form ADV, Jun 29, 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
Across the graphs
L••••• I••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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