DFX Intelligence

M••••• S•••••• C•••••• P••••••• I•• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

M••••• S•••••• C•••••• P••••••• I•• I••

CRD 111011

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jul 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 53
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Jul 12, 2012
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

M••••• S•••••• C•••••• P••••••• I•• I••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

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: $195M••• Locked
Discretionary RAUM: $55.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 6
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D• I••••••••• L•••	Private Equity Fund	$1.5M	Jul 12, 2012	8	Mar 30, 2012	reported	n/a
D• I•••••••• I•• L•••	Private Equity Fund	$240,454

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• G••••••• J•	PRESIDENT OF M••••• S•••••• I••••••••• M••••••••• AND M••••• S•••••• S•••• B•••••	Na	yes	07/2010	Mar 30, 2012	Jul 12, 2012
H••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2012	Mar 30, 2012	Jul 12, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• S•••••• S•••• B••••• L••	n/a	Wirehouse	$1962B	N	yes	n/a
M••••• S•••••• I••••••••• M••••••••• I•••	n/a	Asset manager	$702B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$195M	$55.3M	n/a	n/a	n/a	5	$191M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$195M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (41)

→ M••••• S•••••• I••••••••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ M••••• S•••••• V•••••• C•••••• I•• I••Registered adviserother investment adviser, common control
factForm ADV
→ M••• V•••••• P••••••• I• I••Registered adviserother investment adviser, common control
factForm ADV
→ M••• C•••••• P••••••• I• I••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Jul 12, 2012 172 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.

All 40 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• S•••••• P•••••• E••••• A•••• I•••	n/a	Asset manager	$1.9B	N	yes	n/a
M••••• S•••••• P•••••• E••••• A••• I••• I•••	n/a	Former SEC adviser	$1.6B	N	yes	n/a
M••• C•••••• P••••••• I• I••	n/a	Former SEC adviser	$1.1B	N	yes	n/a
M••••• S•••••• S•••• B••••• P•••••• M••••••••• L••	n/a	Former SEC adviser	$181M	N	yes	n/a
M•••• I•• L••	n/a	Former SEC adviser	$131M	N	yes	n/a
P•••••• I••••••••• P••••••• I•••	n/a	Former SEC adviser	$123M	N	yes	n/a
M••• R••• E••••• S•••••• S••••••••• I• M•••••• L••	n/a	Former SEC adviser	$103M	N	yes	n/a
M••• V•••••• P••••••• I• I••	n/a	Former SEC adviser	$83.8M	N	yes	n/a
M•••• V• L•••••	n/a	Former SEC adviser	$57.5M	N	yes	n/a
M••••• S•••••• V•••••• C•••••• I•• I••	n/a	Former SEC adviser	$44.9M	N	yes	n/a
M••• 2•••• I•••	n/a	Former SEC adviser	$42.6M	N	yes	n/a
M•••• I•• I•••	n/a	Former SEC adviser	$40.7M	N	yes	n/a
M••••• I•• M••••••• L•••••	n/a	Asset manager	$39.6M	N	yes	n/a
M••••• S•••••• S•••• B••••• V•••••• S••••••• L••	n/a	Former SEC adviser	$38.5M	N	yes	n/a
M••••• S•••••• L•••••••• E••••• F••• I• I••	n/a	Former SEC adviser	$27.4M	N	yes	n/a
M••••• S•••••• G••••• E••••••• M•••••• I••	n/a	Former SEC adviser	$3.1M	N	yes	n/a
M••••• S•••••• R••• E••••• I••••••••• M••••••••• I• I•••	n/a	Former SEC adviser	$1.9M	N	yes	n/a
E•••• A•••••• F••• M•••••• I••	n/a	Former SEC adviser	$1.8M	N	yes	n/a
M••••• S•••••• R••• E••••• A••••••• I•••	n/a	No RAUM reported	$0	N	yes	n/a
E•• M••••••• L••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• • C• I••••••••• P••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• • C•• L••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• A••••••••• I••••••••• P••••••• L•	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• A••• L••••••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• A•••• M••••••••• P•••••• L••••••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• C•••••• J•••• K••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• C•••••• P••••••• V• C••••• L•••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• I•••• S••••••• P•••••• L•••	n/a	n/a	n/a	N	yes	n/a
M••••• S•••••• I••••••••• G• L•	n/a	n/a	n/a	N	yes	n/a