DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M•••••••• F•••• M•••••••••

M•••••••• F•••• M••••••••• (USA) INC., CRD 139279

NEW YORK, NY

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Search this name across graphsid dfx:ria:53cae05b-cf79-eda1-6f57-0742f73c6cec

Data as of Oct 2, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to Oct 2, 2014
10 observations

Across DFX

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

Private Equityidentity

M•••••••• F•••• M•••••••••

Private equity manager · 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: $73.3M••• Locked
Discretionary RAUM: $73.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••••• P• T•• F•••• L•••	Private Equity Fund	$73.3M	Oct 2, 2014	2	Mar 28, 2012	reported	n/a
M•••••••• C•••• T••••••••• O••••••• F••• I•• L•	Private Equity Fund	$16.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• W••••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2014	Oct 2, 2014	Oct 2, 2014
F•••••• R•••• J•••	Director	Na	yes	06/2011	Mar 28, 2012	Oct 2, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••••• C•••••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$1.9B	N	yes	n/a
M•••••••• I••••••••• M••••••••• L••••••	n/a	Former SEC adviser	$1.1B	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Jun 26, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$73.3M	$1.4B	-94.8%	n/a	n/a	5	16	n/a	n/a

Relationships

Affiliated with (2)

→ M•••••••• C•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M•••••••• F•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ M•••••••• P• T•• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ M•••••••• C•••• T••••••••• O••••••• F••• I•• L•

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:53cae05b-cf79-eda1-6f57-0742f73c6cec
First observed: Mar 28, 2012
Last observed: Oct 2, 2014 145 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.

Controls (13)

← F•••• W••••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 2, 2014 to presentfactForm ADV
← K••• J•••OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Jun 26, 2013 to presentfactForm ADV
← F•••••• R•••• J•••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← M•••••••• A•••••• H••••••• I•••OwnerINDIRECT OWNER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV
← M•••••••• A••••••• H•••••• P•• L••OwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV
← M•••••••• B••• P•• L••OwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV
← M•••••••• B••• L••••••OwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV
← M•••••••• F••• H••••••• U•• I•••OwnerINDIRECT OWNER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV
← M•••••••• F•••••••• H••••••• •••• L••OwnerINDIRECT OWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← M•••••••• F••• H••••••• I•••OwnerINDIRECT OWNER, ownership code E, domestic entity
Jun 26, 2013 to presentfactForm ADV
← M•••••••• G•••• L••••••OwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV
← M•••••••• S••••••• •••• P•••••••OwnerINDIRECT OWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← M•••••••• T•••••• S••••••• I••OwnerDIRECT OWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV