DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••••• C••••••
Legal name L••••• C•••••• A••••••• L••
Latest filing Jul 27, 2026
First filing on the tape May 2, 2025 · 5 filings
SEC status approved since Jun 13, 2025
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
34%
$85.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$250M as of Jul 27, 2026
May 2, 2025$0 then
HNW client RAUM$85.9M as of Jul 27, 2026
Jul 15, 2025$63.9M then
State-registered IARs (5.B.3)1 as of Jul 27, 2026
May 2, 20250 then
Employees (5.A)3 as of Jul 27, 2026
May 2, 20252 then
Private funds2 as of Jul 27, 2026
Mar 31, 20262 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $242M, 111 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$151M60%
- High-net-worth individuals$85.9M34%
- Corporations and businesses$13.7M5.5%
- Charitable organizations$118,6460.0%
- Individual clients
- n/areported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 114reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $242M for 111 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.34 fund_share=0.6 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• A•••••••• M••••• | New York, Ny | Jul 11, 2025 | 19 y | 1 |
| J•••• A•• B•••••••••Certified Financial Planner | New York, Ny | Oct 5, 2025 | 16 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• A•• B••••••••• from M••••• S••••••Oct 5, 2025 · Wirehouse to independent RIA
- A••• A•••••••• M••••• from M••••• S••••••Jul 11, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••••••• · Partner And Chief Financial Officercontrolsince 03/2025 · owns less than 5%
- M•••••• A•••• A•••••••• · Managing Partner And Chief Compliance Officercontrolsince 03/2025 · owns 25% to 50%
- Y•••• G•••••••• Y• · Partnercontrolsince 03/2025 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 108 to 114Mar 31, 2026 to Jul 27, 2026
- Corporate clients · 17 to 18Mar 31, 2026 to Jul 27, 2026
- HNW clients · 78 to 83Mar 31, 2026 to Jul 27, 2026
- Assets in custody · $240M to $242MMar 31, 2026 to Jul 27, 2026
- Discretionary RAUM · $240M to $250MMar 31, 2026 to Jul 27, 2026
- HNW RAUM · $78.0M to $85.9MMar 31, 2026 to Jul 27, 2026
- Pooled vehicle RAUM · $150M to $151MMar 31, 2026 to Jul 27, 2026
- RAUM · $240M to $250MMar 31, 2026 to Jul 27, 2026
- Accounts · 75 to 108Oct 3, 2025 to Mar 31, 2026
- Advisory employees · 3 to 1Oct 3, 2025 to Mar 31, 2026
- Advisory activities · 1 to 3Oct 3, 2025 to Mar 31, 2026
- Corporate clients · 9 to 17Oct 3, 2025 to Mar 31, 2026
- HNW clients · 55 to 78Oct 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 12Oct 3, 2025 to Mar 31, 2026
- Assets in custody · $0 to $240MOct 3, 2025 to Mar 31, 2026
- Custody of client assets · false to trueOct 3, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 1Oct 3, 2025 to Mar 31, 2026
- Financial planning clients · to 1-10Oct 3, 2025 to Mar 31, 2026
- HQ city · NEW YORK to Oct 3, 2025 to Mar 31, 2026
- HQ state · NY to Oct 3, 2025 to Mar 31, 2026
- State-registered IARs · 0 to 1Oct 3, 2025 to Mar 31, 2026
- Private funds · unset to 2Oct 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $235M to $240MOct 3, 2025 to Mar 31, 2026
- HNW RAUM · $56.9M to $78.0MOct 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $167M to $150MOct 3, 2025 to Mar 31, 2026
- RAUM · $235M to $240MOct 3, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Jul 15, 2025 to Oct 3, 2025
- Corporate clients · 8 to 9Jul 15, 2025 to Oct 3, 2025
- HNW clients · 56 to 55Jul 15, 2025 to Oct 3, 2025
- Employees · 2 to 3Jul 15, 2025 to Oct 3, 2025
- Discretionary RAUM · $222M to $235MJul 15, 2025 to Oct 3, 2025
- HNW RAUM · $63.9M to $56.9MJul 15, 2025 to Oct 3, 2025
- Pooled vehicle RAUM · $155M to $167MJul 15, 2025 to Oct 3, 2025
- RAUM · $222M to $235MJul 15, 2025 to Oct 3, 2025
- Accounts · 0 to 75May 2, 2025 to Jul 15, 2025
- Charity clients · unset to 1.0May 2, 2025 to Jul 15, 2025
- Corporate clients · unset to 8.0May 2, 2025 to Jul 15, 2025
- HNW clients · unset to 56.0May 2, 2025 to Jul 15, 2025
- Pooled vehicle clients · unset to 10.0May 2, 2025 to Jul 15, 2025
- Financial planning clients · unset to May 2, 2025 to Jul 15, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- L••••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- l••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (212) 606-2326reportedpublic record, Form ADV, Jul 27, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026