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 May 20, 2026
First filing on the tape Jul 27, 2021 · 14 filings
SEC status approved since Aug 25, 2021
RAUM
$1.7B
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
32
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.7B as of May 20, 2026
Mar 31, 2022$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 20, 2026
Mar 31, 20220 then
Employees (5.A)32 as of May 20, 2026
Mar 31, 202213 then
Private funds4 as of May 20, 2026
Mar 31, 20224 then
RAUM +9.2% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 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
- $425MderivedRAUM 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
- +9.2%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
- $1.7B, 4 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=8.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• I••••••••• F•••• L••• | Private Equity Fund | $1.4B | 15 | Dec 22, 2021 |
| L••••••• Y•••• L•• | Private Equity Fund | $66.6M | 3 | Mar 31, 2022 |
| W• Y•••• L•• | Private Equity Fund | $55.5M | 9 | Mar 31, 2022 |
| L••••••• Y••• I••••••••• L••• | Private Equity Fund | $19.1M | 7 | Mar 31, 2023 |
| L••••••• S••••• L•• | Private Equity Fund | $6.3M | 3 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A••••• B••••••• · Chief Executive Officercontrolsince 07/2021 · owns less than 5%
- F•••••• D••••• S•••• · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- M•••••• W••••• K•••••• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- S•••••• A•• · Chief Operating Officer, General Counselcontrolsince 07/2023 · owns less than 5%
- B•••••••• A••••• B••••••• · Sole Membercontrolsince 11/2021 · owns 75% or more of B••••••• G•••• I••••••••• M••••••••• G• L••
- B•••••••• A••••• B••••••• · Limited Partnercontrolsince 11/2021 · owns 75% or more of B••••••• G•••• I••••••••• M••••••••• L•
Entity owners
- B••••••• G•••• I••••••••• M••••••••• L• · Sole Memberdirect · owns 75% or more
- B••••••• G•••• I••••••••• M••••••••• G• L•• · General Partnerindirect · owns F of B••••••• G•••• I••••••••• M••••••••• L•
Related persons
Schedule D 7.A
- L••••••• A••••••• F••••• S••broker-dealern
- L••••••• A••••••• L••broker-dealern
- L••••••• A••••••• U• L••broker-dealern
- L••••••• A••••••••• M•••••• L••pooled vehicle sponsorn
- L••••••• I••••••••• F••• G•• L•••pooled vehicle sponsorn
- L••••••• P••••••• L••investment advisernRAUM $125M
- L••••••• Y••• I••••••••• G• L••pooled vehicle sponsorn
- L• V•••••• A••••• M•••••• L••investment advisern
- L• W•••••• L••pooled vehicle sponsorn
- T••••• C•••••• F••• G•• L••pooled vehicle sponsorn
- T••••• C••••••• L••investment advisernRAUM $241M
Advisers that list L••••••• I••••••••• M••••••••• L•• as a related person
- 312441 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 33 to 32Mar 31, 2026 to May 20, 2026
- Advisory employees · 13 to 12Sep 15, 2025 to Mar 31, 2026
- BD registered reps · 7 to 8Sep 15, 2025 to Mar 31, 2026
- Assets in custody · $1.6B to $1.7BSep 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $1.7BSep 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $1.7BSep 15, 2025 to Mar 31, 2026
- RAUM · $1.6B to $1.7BSep 15, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 9, 2025
- Advisory employees · 8 to 13Jun 26, 2024 to Mar 28, 2025
- Assets in custody · $1.5B to $1.6BJun 26, 2024 to Mar 28, 2025
- Employees · 31 to 33Jun 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $1.6BJun 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.5B to $1.6BJun 26, 2024 to Mar 28, 2025
- RAUM · $1.5B to $1.6BJun 26, 2024 to Mar 28, 2025
- Accounts · 5 to 4Aug 4, 2023 to Mar 29, 2024
- Advisory employees · 6 to 8Aug 4, 2023 to Mar 29, 2024
- BD registered reps · 8 to 7Aug 4, 2023 to Mar 29, 2024
- Pooled vehicle clients · 5 to 4Aug 4, 2023 to Mar 29, 2024
- Assets in custody · $1.6B to $1.5BAug 4, 2023 to Mar 29, 2024
- Employees · 25 to 31Aug 4, 2023 to Mar 29, 2024
- Private funds · 5 to 4Aug 4, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.6B to $1.5BAug 4, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.6B to $1.5BAug 4, 2023 to Mar 29, 2024
- RAUM · $1.6B to $1.5BAug 4, 2023 to Mar 29, 2024
- Accounts · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 4 to 6Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 4 to 8Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.4B to $1.6BMar 31, 2022 to Mar 31, 2023
- Employees · 13 to 25Mar 31, 2022 to Mar 31, 2023
- Insurance-licensed employees · 2 to 0Mar 31, 2022 to Mar 31, 2023
- Private funds · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.4B to $1.6BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.4B to $1.6BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.4B to $1.6BMar 31, 2022 to Mar 31, 2023
- Accounts · 1 to 4Jan 27, 2022 to Mar 31, 2022
- BD registered reps · 3 to 4Jan 27, 2022 to Mar 31, 2022
- Pooled vehicle clients · 1 to 4Jan 27, 2022 to Mar 31, 2022
- Assets in custody · $1.3B to $1.4BJan 27, 2022 to Mar 31, 2022
- Employees · 12 to 13Jan 27, 2022 to Mar 31, 2022
Signals
4 dated events
- G•••• K••••••••• (General Counsel) no longer on Schedule A of L••••••• I••••••••• M••••••••• L•• (listed 2023-08-04, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- S•••• D•••• F••••• (Chief Financial Officer) appeared on Schedule A of L••••••• I••••••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Avi Sutton (Chief Operating Officer, General Counsel) appeared on Schedule A of L••••••• I••••••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- L••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 27, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- l•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-644-4200reportedpublic record, Form ADV, May 20, 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