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M•••••••• A••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

M•••••••• A••••••• L•

CRD 330056

DENVER, CO

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Search this name across graphsid dfx:ria:1ba09723-25c5-1ad4-6bc6-2058ffd2f411

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 6
On other graphs: 0
Observed: Feb 2, 2024 to Mar 31, 2026
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 16
Advisory employees: 12
Offices

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••••• J•••• P••••••	M••••••	C	yes	02/2021	Feb 2, 2024	Aug 6, 2024
F••••••••• J•••• P••••••	CHIEF EXECUTIVE OFFICER	Na	yes	04/2024	Feb 2, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• C••••• F••• M••••••••• L•••	n/a	ASSET_M••••••	$8.5B	Y	yes	n/a
M••••••• U• A••••••• L•••	n/a	ASSET_M••••••	$3.7B	Y	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 2 of 3

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	16	16	1	1

Relationships

Affiliated with (3)

→ M••••••• U• A••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ M••••••• C••••• P•••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ M••••••••• B••••• C••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (8)

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 10, 2024
Control person left
Daniel Michael West (Chief Compliance Officer & Chief Financial Officer) no longer on Schedule A of M•••••••• A••••••• L• (listed 2024-02-02, absent 2024-04-10)
Form ADVobserved 6 days ago
Occurred
Apr 10, 2024
Control person joined
J••••• M••• D•••••••• (Chief Compliance Officer) appeared on Schedule A of M•••••••• A••••••• L•
Form ADVobserved 6 days ago
Occurred
Apr 10, 2024
Control person joined
Lawrence Andrew Spring (Chief Financial Officer) appeared on Schedule A of M•••••••• A••••••• L•
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ba09723-25c5-1ad4-6bc6-2058ffd2f411
First observed: Feb 2, 2024
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.