DFX Intelligence

M•••••• C•••••• M••••••••• L••: 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•••••• C•••••• M••••••••• L••

CRD 160013

NEW YORK, NY

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Search this name across graphsid dfx:ria:7d5981ac-1f2a-bba7-8687-5b8a60061f14

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 1
Observed: Feb 15, 2012 to Mar 31, 2023
17 observations

Across DFX

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

Private Equityidentity

M•••••• C•••••• M••••••••• L••

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: $40.1M••• Locked
Discretionary RAUM: $40.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••• E••••• P•••••••• L•	Private Equity Fund	$26.8M	Mar 31, 2023	86	Feb 15, 2012	reported	021-109514
M•••••• E••••• P••••••• Q•• L•	Private Equity Fund	$10.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• C••••••••• N••	MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Jan 28, 2021	Mar 31, 2023
H••••• A•••••• R•••••	MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER	E	yes	09/2007	Feb 15, 2012	Mar 31, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• E••••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$40.1M	$71.6M	-43.9%	$82.4M	-21.3%	3	3	0	0

Relationships

Advises (3)

→ M•••••• E••••• P•••••••• L•Private fundPrivate Equity Fund, IA
Feb 15, 2012 to presentfactForm ADV
→ M•••••• E••••• P••••••• Q•• L•Private fundPrivate Equity Fund, IA
Feb 15, 2012 to presentfactForm ADV
→ M•• C••••••••• L••Private fundPrivate Equity Fund, IA, no longer reported
Feb 15, 2012 to Mar 30, 2018factForm ADV

Controls (2)

Dated events

Occurred
Jan 28, 2021
Control person joined
Nmn Christopher Bradley (Managing Director And Chief Compliance Officer) appeared on Schedule A of M•••••• C•••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Jan 28, 2021
Control person left
Paul William Phoenix (Member And Chief Compliance Officer) no longer on Schedule A of M•••••• C•••••• M••••••••• L•• (listed 2020-03-31, absent 2021-01-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d5981ac-1f2a-bba7-8687-5b8a60061f14
First observed: Feb 15, 2012
Last observed: Mar 31, 2023 42 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.