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••• I•••••••••
Legal name L••• I••••••••• L•
Latest filing Nov 24, 2021
First filing on the tape Nov 17, 2021 · 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
16
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Nov 24, 2021
Nov 17, 2021$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 24, 2021
Nov 17, 20210 then
Employees (5.A)16 as of Nov 24, 2021
Nov 17, 202116 then
Private funds: 1
Practice profile
derived from the filing of Nov 24, 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
- unknownderived2 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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••• M••••• F••• L••• | Hedge Fund | $1.7B | 73 | Nov 17, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• W••••••• J••••• · Trusteecontrolsince 03/2011 · owns less than 5%
- G••••••• P•••• A••••• · Trusteecontrolsince 10/2008 · owns less than 5%
- D••••••• W••••••• J••••• · Trusteecontrolsince 03/2011 · owns F of W•••••• D•••••• T••••
- G••••••• P•••• A••••• · Trusteecontrolsince 10/2008 · owns F of P••• A• G•••••• T••••
- N•••••••• S•••••• J•• · Chief Compliance Officersince 11/2021 · owns less than 5%
Entity owners
- L••• G• L•• · General Partnerdirect · owns less than 5%
- P••• A• G•••••• T•••• · Limited Partnerdirect · owns 25% to 50%
- W•••••• D•••••• T•••• · Limited Partnerdirect · owns 50% to 75%
- J••• F••••••••• L•• · Managing Memberindirect · owns F of L••• G• L••
- P••• A• G•••••• T•••• · Managing Memberindirect · owns 25% to 50% of J••• F••••••••• L••
- W•••••• D•••••• T•••• · Managing Memberindirect · owns 50% to 75% of J••• F••••••••• L••
Related persons
Schedule D 7.A
- J••• C••••••investment advisern
- J••• E••••••••• L••broker-dealern
- J••• T••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- New York, NY8 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 0Nov 17, 2021 to Nov 19, 2021
- Pooled vehicle clients · 3 to 0Nov 17, 2021 to Nov 19, 2021
- Assets in custody · 1679236060.0 to unsetNov 17, 2021 to Nov 19, 2021
- Custody of client assets · true to falseNov 17, 2021 to Nov 19, 2021
- Private funds · 1 to unsetNov 17, 2021 to Nov 19, 2021
- Discretionary RAUM · $1.7B to $0Nov 17, 2021 to Nov 19, 2021
- Pooled vehicle RAUM · 1679236060.0 to unsetNov 17, 2021 to Nov 19, 2021
- RAUM · $1.7B to $0Nov 17, 2021 to Nov 19, 2021
Signals
2 dated events
- L••• I••••••••• reported RAUM $0, down 100% from $1.7B (2021-11-17 to 2021-11-19)Nov 19, 2021 · RAUM change · derived
- L••• I••••••••• filed its initial SEC registration (Form ADV)Nov 17, 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.
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