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•••••••• S••••• M••••••••• L••
Latest filing Apr 19, 2021
First filing on the tape Nov 5, 2020 · 3 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Apr 19, 2021
Nov 5, 2020$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 19, 2021
Nov 5, 20200 then
Employees (5.A)33 as of Apr 19, 2021
Nov 5, 20208 then
Private funds1 as of Apr 19, 2021
Nov 5, 20201 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 19, 2021; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L• A••••••••• H•••••• O••••••••• F••• L• | Real Estate Fund | $0 | 0 | Nov 5, 2020 |
| L• A••••••••• H•••••• F••• L• | Real Estate Fund | $0 | 0 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• P••••• · Chief Risk Officercontrolsince 08/2020 · owns less than 5%
- D•••• D•••••• R•••• · Chief Executive Officer; Chief Compliance Officercontrolsince 08/2020 · owns 75% or more
- S••••• I••••• · Managing Director, Legalcontrolsince 01/2021 · owns less than 5%
- D•••• D•••••• R•••• · Member, Chief Executive Officercontrolsince 08/2020 · owns 75% or more of L•••••••• S••••• H•••••• C••••••• L••
Entity owners
- L•••••••• S••••• H•••••• C••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- L• A• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 13Nov 5, 2020 to Mar 30, 2021
- Business name · L• S••••••••• H•••••• L•• to L•••••••• S••••• M••••••••• L••Nov 5, 2020 to Mar 30, 2021
- Employees · 8 to 33Nov 5, 2020 to Mar 30, 2021
- Legal name · L• S••••••••• H•••••• L•• to L•••••••• S••••• M••••••••• L••Nov 5, 2020 to Mar 30, 2021
Signals
5 dated events
- R•••••• R••••• (Managing Director) no longer on Schedule A of L•••••••• S••••• M••••••••• L•• (listed 2021-03-30, absent 2021-04-19)Apr 19, 2021 · Control person left · inference
- I••••• S•••• (Managing Director, Legal) appeared on Schedule A of L•••••••• S••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- Philip Daniele (Chief Risk Officer) appeared on Schedule A of L•••••••• S••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- R•••••• R••••• (Managing Director) appeared on Schedule A of L•••••••• S••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- L• S••••••••• H•••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 2020 · 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
Across the graphs
L•••••••• S••••• 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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