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•••••• M••••••••• L••••••
Latest filing Mar 21, 2025
First filing on the tape Nov 27, 2019 · 8 filings
SEC status approved since Jan 8, 2020
RAUM
$6.9M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$6.9M as of Mar 21, 2025
Mar 22, 2022$45.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2025
Mar 29, 20210 then
Employees (5.A)4 as of Mar 21, 2025
Mar 29, 202115 then
Private funds1 as of Mar 21, 2025
Mar 22, 20221 then
RAUM +16% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2025; 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
- $6.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 90%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
- +16%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-based, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$4.9M71%
- Insurance companies$1.3M19%
- Investment companies$695,87910%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••••• F••• L•••••• | Liquidity Fund | $45.0M | 3 | Mar 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• F•••••••• A•••••••• · Chief Legal Counselcontrolsince 12/2019 · owns less than 5%
- T••••• M••••••• A••••• · Chief Financial Officercontrolsince 12/2019 · owns less than 5%
- W••• M••• · Directorcontrolsince 01/2022 · owns less than 5%
- W•••••• J•••• D•••••• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
Entity owners
- A•••••• C•••••• H••••••• · Shareholderdirect · owns 75% or more
- M••••• C••••••••• · Shareholderindirect · owns 75% or more of A•••••• C•••••• H••••••• · public reporting company
Related persons
Schedule D 7.A
- M••••• B•••••• L••••••real estaten
- M••••• C•••• I••••••••• M••••••••• L••••••investment adviserbankn
- M••••• C•••• R• L••real estaten
- N•••••• A••••••• L••investment adviserbanknRAUM $13B
- N•••••• C•••••• L•••investment adviserbankpooled vehicle sponsornRAUM $13B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 7 to 4Mar 25, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 21, 2025
- HQ state · unset to Mar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $6.0M to $6.9MMar 25, 2024 to Mar 21, 2025
- Pension RAUM · $4.2M to $4.9MMar 25, 2024 to Mar 21, 2025
- RAUM · $6.0M to $6.9MMar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $4.3M to $6.0MMar 3, 2023 to Mar 25, 2024
- Pension RAUM · $3.0M to $4.2MMar 3, 2023 to Mar 25, 2024
- RAUM · $4.3M to $6.0MMar 3, 2023 to Mar 25, 2024
- Employees · 12 to 7Mar 22, 2022 to Mar 3, 2023
- Discretionary RAUM · $45.0M to $4.3MMar 22, 2022 to Mar 3, 2023
- Pension RAUM · $31.9M to $3.0MMar 22, 2022 to Mar 3, 2023
- RAUM · $45.0M to $4.3MMar 22, 2022 to Mar 3, 2023
- Accounts · unset to 1.0Mar 29, 2021 to Mar 22, 2022
- Advisory employees · 4 to 2Mar 29, 2021 to Mar 22, 2022
- Employees · 15 to 12Mar 29, 2021 to Mar 22, 2022
- Private funds · unset to 1Mar 29, 2021 to Mar 22, 2022
- Discretionary RAUM · unset to 45031344.0Mar 29, 2021 to Mar 22, 2022
- Non-discretionary RAUM · unset to 0.0Mar 29, 2021 to Mar 22, 2022
- Pension RAUM · unset to 31886138.0Mar 29, 2021 to Mar 22, 2022
- RAUM · unset to 45031344.0Mar 29, 2021 to Mar 22, 2022
- Advisory employees · 0 to 4Nov 27, 2019 to Jan 2, 2020
- Employees · 0 to 15Nov 27, 2019 to Jan 2, 2020
Signals
8 dated events
- L•••••••• C•••••• M••••••••• L•••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $6.9M)Dec 20, 2025 · Left the SEC roster · derived
- Alexander James Welsby (Chief Investment Officer) no longer on Schedule A of L•••••••• C•••••• M••••••••• L•••••• (listed 2022-03-22, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Craig John Brenton Slade (President) no longer on Schedule A of L•••••••• C•••••• M••••••••• L•••••• (listed 2021-03-29, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- Nicholas Andrew Barnard (Chief Executive Officer) no longer on Schedule A of L•••••••• C•••••• M••••••••• L•••••• (listed 2021-03-29, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- Mark Way (Director) appeared on Schedule A of L•••••••• C•••••• M••••••••• L••••••Mar 22, 2022 · Control person joined · fact
- Nicholas Andrew Barnard (Chief Executive Officer) appeared on Schedule A of L•••••••• C•••••• M••••••••• L••••••May 1, 2020 · Control person joined · fact
- Jed Rhoads (Non-Executive Chairman) no longer on Schedule A of L•••••••• C•••••• M••••••••• L•••••• (listed 2019-11-27, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- L•••••••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Nov 27, 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