DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

L••••• B• P••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 315185SEC 801-122099IAPD
Latest filing May 11, 2026
First filing on the tape Jul 16, 2021 · 14 filings
SEC status approved since Aug 13, 2021
RAUM
$1.5B
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.5B as of May 11, 2026
Mar 30, 2022$260M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2026
Mar 30, 20220 then
Employees (5.A)9 as of May 11, 2026
Mar 30, 20225 then
Private funds1 as of May 11, 2026
Mar 30, 20221 then
RAUM +25% over the last fiscal year+75% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 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
$747MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+25%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
Custody
$1.5B, 2 clientsreportedItem 9.A
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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5B100%
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
$1.5B for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••• B• M••••• F••• L•Hedge Fund$309M9Nov 3, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M•••••• O•••• · Limited Partner & Ciocontrol
        since 04/2021 · owns 50% to 75%
      • B••••••• M•••••• O•••• · Managing Membercontrol
        since 04/2021 · owns 75% or more of L••••• B• P••••••• G• L••
      • A•••••••• D••••• J••• · Chief Compliance Officer
        since 06/2023 · owns less than 5%
      • G••••••• P••••••• C••••• · Limited Partner
        since 04/2021 · owns 10% to 25%
      Entity owners
      • C•• T•••• · Limited Partner
        direct · owns 5% to 10%
      • L• L•• T• · Limited Partner
        direct · owns 10% to 25%
      • L••••• B• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      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
      • Assets in custody · $1.2B to $1.5B
        Mar 28, 2025 to Mar 30, 2026
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 28, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $1.2B to $1.5B
        Mar 28, 2025 to Mar 30, 2026
      • RAUM · $1.2B to $1.5B
        Mar 28, 2025 to Mar 30, 2026
      • Advisory employees · 4 to 5
        Mar 29, 2024 to Mar 28, 2025
      • Assets in custody · $309M to $1.2B
        Mar 29, 2024 to Mar 28, 2025
      • Employees · 6 to 9
        Mar 29, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Mar 29, 2024 to Mar 28, 2025
      • Discretionary RAUM · $309M to $1.2B
        Mar 29, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $309M to $1.2B
        Mar 29, 2024 to Mar 28, 2025
      • RAUM · $309M to $1.2B
        Mar 29, 2024 to Mar 28, 2025
      • Advisory employees · 3 to 4
        Jun 14, 2023 to Mar 29, 2024
      • Assets in custody · $298M to $309M
        Jun 14, 2023 to Mar 29, 2024
      • Employees · 4 to 6
        Jun 14, 2023 to Mar 29, 2024
      • Discretionary RAUM · $280M to $309M
        Jun 14, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $280M to $309M
        Jun 14, 2023 to Mar 29, 2024
      • RAUM · $280M to $309M
        Jun 14, 2023 to Mar 29, 2024
      • Assets in custody · $109M to $298M
        Jan 6, 2023 to Mar 29, 2023
      • Employees · 5 to 4
        Jan 6, 2023 to Mar 29, 2023
      • Discretionary RAUM · $109M to $280M
        Jan 6, 2023 to Mar 29, 2023
      • Pooled vehicle RAUM · $109M to $280M
        Jan 6, 2023 to Mar 29, 2023
      • RAUM · $109M to $280M
        Jan 6, 2023 to Mar 29, 2023
      • Assets in custody · $260M to $109M
        Mar 30, 2022 to Apr 29, 2022
      • Discretionary RAUM · $260M to $109M
        Mar 30, 2022 to Apr 29, 2022
      • Pooled vehicle RAUM · $260M to $109M
        Mar 30, 2022 to Apr 29, 2022
      • RAUM · $260M to $109M
        Mar 30, 2022 to Apr 29, 2022
      • Assets in custody · $112M to $260M
        Nov 5, 2021 to Mar 30, 2022
      • Discretionary RAUM · $112M to $260M
        Nov 5, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $112M to $260M
        Nov 5, 2021 to Mar 30, 2022
      • RAUM · $112M to $260M
        Nov 5, 2021 to Mar 30, 2022
      • Accounts · unset to 2.0
        Jul 16, 2021 to Nov 3, 2021
      • Pooled vehicle clients · unset to 2.0
        Jul 16, 2021 to Nov 3, 2021
      • Assets in custody · unset to 112000000.0
        Jul 16, 2021 to Nov 3, 2021
      • Custody of client assets · false to true
        Jul 16, 2021 to Nov 3, 2021
      • Employees · 3 to 5
        Jul 16, 2021 to Nov 3, 2021
      • Private funds · unset to 1
        Jul 16, 2021 to Nov 3, 2021
      • Discretionary RAUM · unset to 112000000.0
        Jul 16, 2021 to Nov 3, 2021
      • Non-discretionary RAUM · unset to 0.0
        Jul 16, 2021 to Nov 3, 2021
      • Pooled vehicle RAUM · unset to 112000000.0
        Jul 16, 2021 to Nov 3, 2021
      • RAUM · unset to 112000000.0
        Jul 16, 2021 to Nov 3, 2021
      Signals
      9 dated events
      • L••••• B• P••••••• L• reported RAUM $1.2B, up 288% from $308.5M (2024-03-29 to 2025-03-28)
        Mar 28, 2025 · RAUM change · derived
      • Lynn Joseph Farley (Chief Compliance Officer) no longer on Schedule A of L••••• B• P••••••• L• (listed 2023-04-06, absent 2023-06-13)
        Jun 13, 2023 · Control person left · inference
      • L••••• B• P••••••• L• reported RAUM $279.7M, up 157% from $108.6M (2023-01-06 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • J••• C••••• B••••••• (Chief Compliance Officer) no longer on Schedule A of L••••• B• P••••••• L• (listed 2022-04-29, absent 2023-01-06)
        Jan 6, 2023 · Control person left · inference
      • Lynn Joseph Farley (Chief Compliance Officer) appeared on Schedule A of L••••• B• P••••••• L•
        Jan 6, 2023 · Control person joined · fact
      • L••••• B• P••••••• L• reported RAUM $108.6M, down 58% from $260.3M (2022-03-30 to 2022-04-29)
        Apr 29, 2022 · RAUM change · derived
      • L••••• B• P••••••• L• reported RAUM $260.3M, up 132% from $112.0M (2021-11-05 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • Conrad Patrick Gresens (Trustee) appeared on Schedule A of L••••• B• P••••••• L•
        Mar 30, 2022 · Control person joined · fact
      • L••••• B• P••••••• L• filed its initial SEC registration (Form ADV)
        Jul 16, 2021 · 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
      212-918-0910reportedpublic record, Form ADV, May 11, 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