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•• M•••••••• L••
Latest filing Jun 2, 2025
First filing on the tape Aug 16, 2021 · 20 filings
SEC status approved since Sep 17, 2021
RAUM
$32.1M
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
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$32.1M as of Jun 2, 2025
Mar 29, 2022$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2025
Mar 29, 20220 then
Employees (5.A)4 as of Jun 2, 2025
Mar 29, 20225 then
Private funds2 as of Mar 26, 2024
Mar 29, 20221 then
RAUM -90% over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 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
- $32.1MderivedRAUM 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
- -66%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
- 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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| N••••••• F•••• L•• | Other Private Fund | $94.9M | 2 | Oct 14, 2021 |
| L••••• I••••••••• F•••• L•• | Other Private Fund | $16.9M | 2 | Jun 21, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• P••••••• E••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- L••••• G•••••••• W• · Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- S•••• S•••• · Chief Executive Officer And Chief Investment Officercontrolsince 12/2022 · owns less than 5%
Entity owners
- L••••• I••••••••• I•• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••••• C•••••• M••••••• L••broker-dealern
- L••••• R• S••real estaten
- L••••• R••• M••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 17, 2025 to Jun 2, 2025
- Financial planning clients · unset to Mar 17, 2025 to Jun 2, 2025
- Discretionary RAUM · $57.8M to $32.1MMar 17, 2025 to Jun 2, 2025
- Non-discretionary RAUM · $47.8M to $0Mar 17, 2025 to Jun 2, 2025
- RAUM · $106M to $32.1MMar 17, 2025 to Jun 2, 2025
- Discretionary RAUM · $59.0M to $57.8MOct 25, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $43.0M to $47.8MOct 25, 2024 to Mar 17, 2025
- RAUM · $102M to $106MOct 25, 2024 to Mar 17, 2025
- Accounts · 4 to 2May 6, 2024 to Sep 14, 2024
- Advisory employees · 4 to 2May 6, 2024 to Sep 14, 2024
- Advisory activities · 2 to 1May 6, 2024 to Sep 14, 2024
- BD registered reps · 0 to 1May 6, 2024 to Sep 14, 2024
- Pooled vehicle clients · 2.0 to unsetMay 6, 2024 to Sep 14, 2024
- Employees · 7 to 4May 6, 2024 to Sep 14, 2024
- Private funds · 2 to unsetMay 6, 2024 to Sep 14, 2024
- Discretionary RAUM · $276M to $59.0MMay 6, 2024 to Sep 14, 2024
- Non-discretionary RAUM · $32.9M to $43.0MMay 6, 2024 to Sep 14, 2024
- Pooled vehicle RAUM · 217879804.0 to unsetMay 6, 2024 to Sep 14, 2024
- RAUM · $309M to $102MMay 6, 2024 to Sep 14, 2024
- Advisory employees · 5 to 4Nov 15, 2023 to Mar 26, 2024
- Employees · 8 to 7Nov 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $266M to $276MNov 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $29.7M to $32.9MNov 15, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $210M to $218MNov 15, 2023 to Mar 26, 2024
- RAUM · $295M to $309MNov 15, 2023 to Mar 26, 2024
- Accounts · 3 to 4Jul 24, 2023 to Nov 15, 2023
- Discretionary RAUM · $172M to $266MJul 24, 2023 to Nov 15, 2023
- Non-discretionary RAUM · $28.4M to $29.7MJul 24, 2023 to Nov 15, 2023
- Pooled vehicle RAUM · $172M to $210MJul 24, 2023 to Nov 15, 2023
- RAUM · $201M to $295MJul 24, 2023 to Nov 15, 2023
- Accounts · 2 to 3Mar 30, 2023 to Jun 21, 2023
- Pooled vehicle clients · unset to 2.0Mar 30, 2023 to Jun 21, 2023
- Private funds · 1 to 2Mar 30, 2023 to Jun 21, 2023
- Discretionary RAUM · $152M to $172MMar 30, 2023 to Jun 21, 2023
- Non-discretionary RAUM · $25.0M to $28.4MMar 30, 2023 to Jun 21, 2023
- Pooled vehicle RAUM · unset to 172229830.0Mar 30, 2023 to Jun 21, 2023
- RAUM · $177M to $201MMar 30, 2023 to Jun 21, 2023
- Advisory employees · 3 to 5Jan 10, 2023 to Mar 30, 2023
- Employees · 5 to 8Jan 10, 2023 to Mar 30, 2023
- Discretionary RAUM · $150M to $152MJan 10, 2023 to Mar 30, 2023
Signals
8 dated events
- L••••• I•• M•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $32.1M)Jan 2, 2026 · Left the SEC roster · derived
- L••••• I•• M•••••••• L•• reported RAUM $102.1M, down 67% from $309.4M (2024-05-06 to 2024-09-14)Sep 14, 2024 · RAUM change · derived
- K Rajiv Punja (Chier Executive Officer And Chief Investment Officer) no longer on Schedule A of L••••• I•• M•••••••• L•• (listed 2022-12-15, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- Marie Kristin Koloniaris (Chief Financial Officer) no longer on Schedule A of L••••• I•• M•••••••• L•• (listed 2022-12-15, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- S•••• S••• (Chief Executive Officer And Chief Investment Officer) appeared on Schedule A of L••••• I•• M•••••••• L••Jan 10, 2023 · Control person joined · fact
- W G••••••• L•••• (Chief Financial Officer) appeared on Schedule A of L••••• I•• M•••••••• L••Dec 15, 2022 · Control person joined · fact
- Marie Kristin Koloniaris (Chief Financial Officer) appeared on Schedule A of L••••• I•• M•••••••• L••Mar 29, 2022 · Control person joined · fact
- L••••• I•• M•••••••• L•• filed its initial SEC registration (Form ADV)Aug 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.
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