DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

M••••••• A•••••••• L••

CRD 112245

SEATTLE, WA

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Search this name across graphsid dfx:ria:453e3be4-6768-fc99-9afb-e3d7e98f0c92

Data as of Jun 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 8
On other graphs: 1
Observed: Mar 30, 2012 to Jun 15, 2026
23 observations

Across DFX

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

Allocatorsidentity

M••••••• A•••••••• L••

Investment consultant · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.2 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $2.3B••• Locked
Discretionary RAUM: $41.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• I••	Owner	E	yes	01/2019	Jun 25, 2021	Mar 22, 2024
P••• S••••• H••••	CHIEF COMPLIANCE OFFICER	Na	no	09/2014	Mar 30, 2015	Mar 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• F•••••••• R••• M••••••••• L••	n/a	Asset manager	$40B	N	yes	n/a
M••••••• F•••••••• S••••••••• B•	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Albany	NY	United States	2	no

Regulatory AUM by fiscal year

••• Locked

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

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	$2.3B	$2.5B	-8.0%	$41B	-61.7%	1	2	1	1

Relationships

Affiliated with (2)

→ M••••••• F•••••••• R••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← M••••••• F•••••••• R••• M••••••••• L••Registered adviserother investment adviser, LP sponsor, control, common control
factForm ADV

Owns (1)

← P••• S••••• H••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2015 to Mar 22, 2024factForm ADV

Controls (1)

Dated events

Occurred
Mar 22, 2024
Regulatory AUM changed
M••••••• A•••••••• L•• reported RAUM $2.7B, down 93% from $41.2B (2023-03-29 to 2024-03-22)
Form ADVobserved 7 days ago
$-38.5B
Occurred
Mar 24, 2022
Control person left
Anthony Stephen White (President & Ceo) no longer on Schedule A of M••••••• A•••••••• L•• (listed 2021-06-25, absent 2022-03-24)
Form ADVobserved 7 days ago
Occurred
Mar 24, 2022
Control person left
Paul Kenneth Mungan (Chairman Of The Board) no longer on Schedule A of M••••••• A•••••••• L•• (listed 2021-06-25, absent 2022-03-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:453e3be4-6768-fc99-9afb-e3d7e98f0c92
First observed: Mar 30, 2012
Last observed: Jun 15, 2026 3 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.