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•••••• S•••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 39011SEC 801-68264IAPD
Latest filing Mar 24, 2012
First filing on the tape Nov 29, 2011 · 2 filings
RAUM
$50.5M
reported, Item 5.F
Discretionary
61%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$50.5M as of Mar 24, 2012
Nov 29, 2011$38.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2012
Nov 29, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2012; 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
$561,011derivedRAUM over accounts (5.F.2.f)
Discretionary
61%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
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, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
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
90reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• D••••• B•••• · Director/Trusteecontrol
    since 12/2001 · owns less than 5%
  • L••••••• J•••••• A••• · Ceo/Director/Trusteecontrol
    since 05/1995 · owns less than 5%
  • N•••••• A••••• R••• · Treasurercontrol
    since 08/1996 · owns less than 5%
  • P••••••••• J••• R•••••• · Chief Compliance Officer (Cco), Managing Directorcontrol
    since 06/2008 · owns less than 5%
  • L••••••• J•••••• A••• · Unit Holdercontrol
    since 05/1995 · owns 25% to 50% of L•••••• S•••• M••••••••• B••••••• T••••
  • G••••••• T•••••• A••••• G••••• · Chief Legal Officer
    since 05/2006 · owns less than 5%
  • Z••••• Q• Y• · Finop
    since 11/2008 · owns less than 5%
Entity owners
  • L•••••• S•••• H•••••••• L•• · Owner
    direct · owns 75% or more
  • L•••••• S•••• M••••••••• B••••••• T•••• · Member And Holder Of All Class B Units
    indirect · owns 50% to 75% of L•••••• S•••• H•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list L•••••• S•••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 83 to 90
    Nov 29, 2011 to Mar 24, 2012
  • Advisory activities · 4 to 2
    Nov 29, 2011 to Mar 24, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 29, 2011 to Mar 24, 2012
  • Discretionary RAUM · $28.9M to $30.8M
    Nov 29, 2011 to Mar 24, 2012
  • Non-discretionary RAUM · $10.0M to $19.7M
    Nov 29, 2011 to Mar 24, 2012
  • RAUM · $38.9M to $50.5M
    Nov 29, 2011 to Mar 24, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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