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••••• M••••••• G••••• I•••
Latest filing Dec 9, 2011
First filing on the tape Dec 9, 2011 · 1 filings
RAUM
$11.0M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $11.0M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Dec 9, 2011; 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
- $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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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, performance-based, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performance, 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
- R•••••• B•••• G•••••••• to I••••••••• A••••• I••••••••• M••••••••• L••May 10, 2012 · Other
- S••••• J••••• K•••••••• to E••• E•• W••••• M•••••••••Jun 19, 2008 · Other
- J••• F•••• H••••••• to V•••• P•••••••Dec 7, 2005 · Other
- R••• S•••• S••••• to V•••• P•••••••Nov 28, 2005 · Other
Joined, latest
- R•••••• B•••• G•••••••• from A••••••• • S••••••••• I•••••••••Jul 26, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I•••••• S•••• L•••• · Executive Representative, Chief Compliance Officer, Srop, Cropcontrolsince 06/2008 · owns less than 5%
- U•••••••• D•••• W•••• J• · Chairman, Ceo & Presidentcontrolsince 03/2003 · owns less than 5%
- I•••••• S•••• L•••• · Shareholdercontrolsince 12/2009 · owns F of L•••• End Corp
- U•••••••• D•••• W•••• J• · Shareholdercontrolsince 07/2002 · owns 50% to 75% of L•••• E•• C••••
- B••••••• D•••• B••••••• · Finopsince 07/2003 · owns less than 5%
- G••••••••• T••••• J••••• · Shareholdersince 12/2009 · owns F of L•••• End Corp
- O••••••••• S••••• F• · Shareholdersince 12/2009 · owns F of L•••• End Corp
Entity owners
- L•••• E•• C•••• · Ownerdirect · owns 75% or more
- J•• M•••• I••••••••• L•• · Shareholderindirect · owns F of L•••• End Corp
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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