DFX Intelligence

Data Factory

M••••• S•••••• L••: 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 adviserother adviserSEC registeredRAUM over $100B

M••••• S•••••• L••

CRD 107717

NEW Y•••, 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 graphsid dfx:ria:43bbe5b8-c591-6c9d-239a-0d22775524a9

Data as of Aug 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 84
Dated events: 11
On other graphs: 2
Observed: Dec 22, 2011 to Aug 6, 2026
56 observations

Across DFX

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

Private Equityidentity

M••••• S•••••• L••

Private equity manager · shared crd

Private Creditidentity

M••••• S•••••• L••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.02 fund_share=0.57 institutional_share=0.39 related_bd=true related_bank=true bd_reps=38.0
Regulatory AUM: $160B••• Locked
Discretionary RAUM: $160B
Private client RAUM: $3.0Bderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $23Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• A••••• B•••••••••	n/a	NEW Y•••, NY \| Princeton, NJ	20	22	1	yes
B••• S•••••• G•••••	n/a	NEW Y•••, NY	18	27

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• M•••••••• C••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$4.5B	Jul 2, 2024	3,239	Mar 30, 2012	reported	021-289829
M••••• M•••••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$3.1B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• N•••• ••••	INTERIM CEO AND CHAIRMAN OF THE BOARD OF M••••••S	Na	yes	03/3017	Mar 30, 2017	Jul 2, 2024
A•••••••• J•••• W••••••	EXECUTIVE MANAGING DIRECTOR	Na	yes	09/2012	Oct 11, 2012	Jul 2, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•• I•••••••• L••	n/a	INSTITUTIONAL_M••••••	$329B	N	yes	n/a
C•••••••• S•••••• E• C••••••••• P•• A••••••	n/a	ASSET_M••••••	$155B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Princeton	Nj	United States	19	no
EL SEGUNDO	CA	United States	8	no
LONDON EC2R 5BJ	n/a	United Kingdom	7	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$160B	$152B	5.2%	$130B	7.1%	206	201	3	2

Relationships

showing 80 of 84

Affiliated with (27)

→ N•• Y••• L••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ E•••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I•••••• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N•• I•••••••• L••Registered adviser

Dated events

Occurred
Mar 22, 2024
Control person left
Scott Jeffrey Phlegar (Chairman And Chief Executive Officer And Elected To The Board Of Managers) no longer on Schedule A of M••••• S•••••• L•• (listed 2023-05-17, absent 2024-03-22)
Form ADVobserved 7 days ago
Occurred
Mar 22, 2024
Control person joined
Michael Depalma (Senior Managing Director) appeared on Schedule A of M••••• S•••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 22, 2024
Control person joined
Joseph Cornelius Moriarty (Senior Managing Director) appeared on Schedule A of M••••• S•••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43bbe5b8-c591-6c9d-239a-0d22775524a9
First observed: Dec 22, 2011
Last observed: Aug 6, 2026 47 days 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.

Controls (15)

← K••••••••• A••••• M••••••OwnerELECTED TO THE BOARD OF M••••••S, ownership code NA, individual
Oct 14, 2022 to Jul 2, 2024factForm ADV
← M•••••••• C••••••••• J•••••OwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 22, 2024 to Jul 2, 2024factForm ADV
← S•••••• A•••••• M•••OwnerEXECUTIVE MANAGING DIRECTOR, ownership code NA, individual
Mar 24, 2016 to Jul 2, 2024factForm ADV
← H••••• F••••••• M••••••OwnerELECTED TO THE BOARD OF M••••••S, ownership code NA, individual
Mar 30, 2017 to Jul 2, 2024factForm ADV
← D••••••• M••••••OwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 22, 2024 to Jul 2, 2024factForm ADV
← A•••••••• J•••• W••••••OwnerEXECUTIVE MANAGING DIRECTOR, ownership code NA, individual
Oct 11, 2012 to Jul 2, 2024factForm ADV
← M•••••• A••••••• R•••••OwnerELECTED TO THE BOARD OF M••••••S, ownership code NA, individual
Dec 22, 2011 to Jul 2, 2024factForm ADV
← L•••••••• J•••• M••••••OwnerVICE CHAIRMAN, EXECUTIVE MANAGING DIRECTOR, ownership code NA, individual
Dec 22, 2011 to Jul 2, 2024factForm ADV
← B••••••••• R•••• A•••••OwnerCHIEF ADMINISTRATIVE OFFICER, EXECUTIVE MANAGING DIRECTOR, ownership code NA, individual
Dec 22, 2011 to Jul 2, 2024factForm ADV
← D••••••• R•••••• A•••OwnerEXECUTIVE MANAGING DIRECTOR, ownership code NA, individual
Dec 22, 2011 to Jul 2, 2024factForm ADV
← A••••••••• N•••• ••••OwnerINTERIM CEO AND CHAIRMAN OF THE BOARD OF M••••••S, ownership code NA, individual
Mar 30, 2017 to Jul 2, 2024factForm ADV
← L••••••• K•••• C•OwnerELECTED TO BOARD OF M••••••S, ownership code NA, individual
Mar 30, 2017 to Jul 2, 2024factForm ADV
← S•••• D•••• M•••••••OwnerCHIEF TECHNOLOGY AND OPERATIONS OFFICER, SENIOR MANAGING DIRECTOR, ownership code NA, individual
Jan 29, 2021 to Jul 2, 2024factForm ADV
← N•• Y••• L••• I•••••••• C••••••OwnerINDIRECT INTEREST HOLDER, ownership code F, domestic entity
Dec 22, 2011 to Jul 2, 2024factForm ADV
← N•• Y••• L••• I••••••••• M••••••••• H••••••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Dec 22, 2011 to Jul 2, 2024factForm ADV