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••••••• U• L••
Latest filing Apr 20, 2026
First filing on the tape Sep 20, 2023 · 9 filings
SEC status approved since Jan 2, 2024
RAUM
$2.0B
reported, Item 5.F
Discretionary
35%
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
17
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.0B as of Apr 20, 2026
Mar 28, 2025$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 20, 2026
Mar 28, 20250 then
Employees (5.A)17 as of Apr 20, 2026
Mar 28, 20257 then
Private funds4 as of Apr 20, 2026
Mar 28, 20253 then
RAUM +67% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 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
- $197MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%derivedof RAUM
- Institutional
- 13%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
- +67%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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B87%
- Pension and profit-sharing plans$224M11%
- Charitable organizations$31.3M1.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.87 institutional_share=0.13 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• M••••••• J••••• · Board Membercontrolsince 12/2023 · owns less than 5%
- B••••••• S••••• · Chief Executive Officercontrolsince 12/2023 · owns less than 5%
- H•• B•• M••• H•••• · Non-Executive Directorcontrolsince 09/2024 · owns less than 5%
- F••••• M•••••• M••••••• · Chief Compliance Officersince 07/2023 · owns less than 5%
Entity owners
- L••••••• I••••••••• M••••••••• L•• · Sole Shareholderdirect · owns 75% or more
- E••• N• · Sole Ownerindirect · owns 75% or more of L••••••• I••••••••• M••••••••• ••• L••••••
- L••••••• I••••••••• M••••••••• ••• L•••••• · Majority Shareholderindirect · owns 75% or more of L••••••• I••••••••• M••••••••• L••
Related persons
Schedule D 7.A
- L••••••• I••••••••• M••••••••• L••investment adviserbankyRAUM $13B
Advisers that list L••••••• U• L•• as a related person
- 324295 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 10Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 5 to 11Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 2 to 1Mar 28, 2025 to Mar 30, 2026
- Charity clients · unset to 1.0Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · unset to 1.0Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 2 to 7Mar 28, 2025 to Mar 30, 2026
- Assets in custody · 0.0 to unsetMar 28, 2025 to Mar 30, 2026
- Custody of client assets · true to falseMar 28, 2025 to Mar 30, 2026
- Employees · 7 to 17Mar 28, 2025 to Mar 30, 2026
- Private funds · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $500M to $687MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $680M to $1.3BMar 28, 2025 to Mar 30, 2026
- Pension RAUM · unset to 223827151.0Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $1.7BMar 28, 2025 to Mar 30, 2026
- RAUM · $1.2B to $2.0BMar 28, 2025 to Mar 30, 2026
- Accounts · 1 to 2Sep 26, 2024 to Mar 28, 2025
- Advisory employees · 1 to 5Sep 26, 2024 to Mar 28, 2025
- Pooled vehicle clients · 1 to 2Sep 26, 2024 to Mar 28, 2025
- Assets in custody · unset to 0.0Sep 26, 2024 to Mar 28, 2025
- Custody of client assets · false to trueSep 26, 2024 to Mar 28, 2025
- Employees · 3 to 7Sep 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 26, 2024 to Mar 28, 2025
- Private funds · unset to 3Sep 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $0 to $500MSep 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $654M to $680MSep 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $654M to $1.2BSep 26, 2024 to Mar 28, 2025
- RAUM · $654M to $1.2BSep 26, 2024 to Mar 28, 2025
- Accounts · 0 to 1Dec 20, 2023 to May 8, 2024
- Pooled vehicle clients · unset to 1.0Dec 20, 2023 to May 8, 2024
- HQ city · PLAINVIEW to NEW YORKDec 20, 2023 to May 8, 2024
- Non-discretionary RAUM · $0 to $654MDec 20, 2023 to May 8, 2024
- Pooled vehicle RAUM · unset to 654001448.0Dec 20, 2023 to May 8, 2024
- RAUM · $0 to $654MDec 20, 2023 to May 8, 2024
Signals
6 dated events
- L••••••• U• L•• reported RAUM $2.0B, up 67% from $1.2B (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- L••••••• U• L•• reported RAUM $1.2B, up 80% from $654.0M (2024-09-26 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Heidi Bon Man Ha (Non-Executive Director) appeared on Schedule A of L••••••• U• L••Sep 26, 2024 · Control person joined · fact
- S••••• B•••••• (Chief Executive Officer) appeared on Schedule A of L••••••• U• L••Dec 20, 2023 · Control person joined · fact
- J••••• M•••••• B••••••••• (Board Member) appeared on Schedule A of L••••••• U• L••Dec 20, 2023 · Control person joined · fact
- L••••••• U• L•• filed its initial SEC registration (Form ADV)Sep 20, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• U• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- l•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44 (0) 20 3781 9332reportedpublic record, Form ADV, Apr 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