DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••••• R•••• C•••••• P•••••••• L•
Legal name L••••• R•••• C•••••• P•••••••• L••
Latest filing May 5, 2026
First filing on the tape May 10, 2024 · 5 filings
SEC status approved since Jun 7, 2024
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$188,358 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$160M as of May 5, 2026
Mar 31, 2025$150M then
HNW client RAUM$188,358 as of May 5, 2026
Mar 31, 2025$150M then
State-registered IARs (5.B.3)1 as of May 5, 2026
Mar 31, 20250 then
Employees (5.A)8 as of May 5, 2026
Mar 31, 20254 then
Private funds1 as of May 5, 2026
Mar 31, 20251 then
RAUM +6.7% over the last fiscal yearIARs 0 to 1offices 0 to 1
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $160MderivedRAUM 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
- $26.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%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 individuals, portfolio management for businesses and institutions, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$156M97%
- Pooled investment vehicles$4.2M2.6%
- High-net-worth individuals$188,3580.1%
- Corporations and businesses$50,8520.0%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=4.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• A•••••••• B••••• | Greenwich, Ct | Jan 6, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- S••••• L••••• M••••• · Chief Investment Officercontrolsince 04/2024 · owns 25% to 50%
- T••••• J•••• P•••••• · Chief Compliance Officercontrolsince 04/2024 · owns 25% to 50%
- H•••••• I•• J•••••• T••••• · Managing Membercontrolsince 03/2024 · owns 75% or more of M••••• C•••••• I••••••••• L••
- S••••• L••••• M••••• · Partnercontrolsince 03/2024 · owns 25% to 50% of L••••• R•••• C•••••• G•• L••
- T••••• J•••• P•••••• · Partnercontrolsince 03/2024 · owns 25% to 50% of L••••• R•••• C•••••• G•• L••
Entity owners
- L••••• R•••• C•••••• G•• L•• · General Partnerdirect · owns 75% or more
- M••••• C•••••• I••••••••• L•• · General Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C•••••• A••••••• T•••••• C••••••• L••broker-dealern
- L••••• R•••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 31, 2026peers: asset managers, $100M to $500M (1,568)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $100M to $500M (1,568)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 0.0% to 97.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $100M to $500M (1,568)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 3 to 6Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 4 to 7Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 0 to 4Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 0.0 to unsetMar 31, 2025 to Mar 31, 2026
- HNW clients · 2.0 to unsetMar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Assets in custody · unset to 0.0Mar 31, 2025 to Mar 31, 2026
- Employees · 4 to 8Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Other offices · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $150M to $160MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $150M to $188,358Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $4.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $150M to $160MMar 31, 2025 to Mar 31, 2026
- Accounts · 10 to 3Oct 8, 2024 to Mar 31, 2025
- Advisory employees · 6 to 4Oct 8, 2024 to Mar 31, 2025
- Advisory activities · 1 to 3Oct 8, 2024 to Mar 31, 2025
- Charity clients · unset to 0.0Oct 8, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0Oct 8, 2024 to Mar 31, 2025
- HNW clients · 8 to 2Oct 8, 2024 to Mar 31, 2025
- Individual clients · unset to 0.0Oct 8, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Oct 8, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 0.0Oct 8, 2024 to Mar 31, 2025
- Employees · 6 to 4Oct 8, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Oct 8, 2024 to Mar 31, 2025
- HQ city · unset to Oct 8, 2024 to Mar 31, 2025
- HQ state · unset to Oct 8, 2024 to Mar 31, 2025
- Private funds · unset to 1Oct 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $90.0M to $150MOct 8, 2024 to Mar 31, 2025
- HNW RAUM · $90.0M to $150MOct 8, 2024 to Mar 31, 2025
- RAUM · $90.0M to $150MOct 8, 2024 to Mar 31, 2025
- Accounts · unset to 10.0May 10, 2024 to Oct 8, 2024
- HNW clients · unset to 8.0May 10, 2024 to Oct 8, 2024
- Discretionary RAUM · unset to 90000000.0May 10, 2024 to Oct 8, 2024
- HNW RAUM · $0 to $90.0MMay 10, 2024 to Oct 8, 2024
- Non-discretionary RAUM · unset to 0.0May 10, 2024 to Oct 8, 2024
- RAUM · unset to 90000000.0May 10, 2024 to Oct 8, 2024
Signals
1 dated events
- L••••• R•••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)May 10, 2024 · 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
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 917-224-7259reportedpublic record, Form ADV, May 5, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026