DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

M•••• L•••• I•••• A••••••• L••

CRD 310820

NEWTOWN, PA

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 6
On other graphs: 0
Observed: Oct 2, 2020 to Mar 30, 2026
8 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $170M••• Locked
Discretionary RAUM: $170M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• R••••• E••••	M••••• O• M•• L••	C	yes	01/2011	May 16, 2023	Mar 18, 2024
C••• G••••••• J•	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	08/2020	Oct 2, 2020	Mar 18, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$170M	$334M	-49.1%	$261M	-13.3%	0	0	0	0

Relationships

Affiliated with (1)

← M•••• L•••• M••••••••• L•Registered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← M•••• L•••• M••••••••• L•OwnerMEMBER, ownership code E, domestic entity
Oct 2, 2020 to Mar 18, 2024factForm ADV
← A•••••• R••••• E••••OwnerMEMBER OF M•• L••, ownership code C, individual
May 16, 2023 to Mar 18, 2024factForm ADV
← I•• R••••••• E•OwnerMEMBER OF M•• L••, ownership code C, individual

Dated events

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

Order

Occurred
30 Mar 2026
Ria principal change
••• Locked
Form ADV
Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
down $164M
Occurred
16 May 2023
Control person joined2 events
M•••• L•••• I•••• A••••••• L••: control person joined, 2 events, on 16 May 2023
- ••• Locked
- ••• Locked
Occurred
2 Oct 2020
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Mar 30, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 2, 2020
Last observed: Mar 30, 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.

All 11 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••••• S•••• U••••••••• F•••••••••	Member	B	no	08/2020	Oct 2, 2020	Mar 18, 2024