DFX Intelligence

M•••••••• B••••••• I••••••••• M•••••••••: 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 adviserformer SEC advisernot on rosterRAUM under $100M

M•••••••• B••••••• I••••••••• M•••••••••

M•••••••• INVESTMENT MANAGEMENT, LLC, CRD 138338

MELVILLE, 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:9c479713-dfac-c2ce-8af7-f6f0213d9184

Data as of Apr 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 12
On other graphs: 1
Observed: Dec 7, 2011 to Apr 13, 2023
46 observations

Across DFX

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

Private Equityidentity

M•••••••• B••••••• I••••••••• 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: $93.1M••• Locked
Discretionary RAUM: $93.1M
Private client RAUM: $40.8Mderived••• Locked
Private client share: 44%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••••• G••••• V•••• E••••• F•••	Other Private Fund	$22.3M	Mar 30, 2020	15	Mar 20, 2018	dropped	n/a
P••••• C•••••• P•••••••• L•••	Hedge Fund	$11.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• A• H••••••• I•••	Manager	E	yes	06/2022	Aug 18, 2020	Apr 13, 2023
A•••• A• H••••••• I•••	M•••••• O• M••••• C•••••• L••	E	yes	06/2022	Aug 18, 2020	Apr 13, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	0	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
2022	$93.1M	$165M	-43.5%	$313M	-33.2%	5	6	4	6

Relationships

Advises (3)

→ P••••• C•••••• P•••••••• L•••Private fundHedge Fund, IA
Mar 23, 2012 to presentfactForm ADV
→ M•••••••• B••••••• M••••• F•••• L•••Private fundHedge Fund, IA, no longer reported
Dec 12, 2013 to Mar 30, 2020factForm ADV
→ M•••••••• G••••• V•••• E••••• F•••Private fundOther Private Fund, IA, no longer reported
Mar 20, 2018 to Mar 30, 2020factForm ADV

Controls (8)

Dated events

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

Occurred
Apr 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 13, 2023
C•••••• person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 13, 2023
C•••••• person joined
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c479713-dfac-c2ce-8af7-f6f0213d9184
First observed: Dec 7, 2011
Last observed: Apr 13, 2023 41 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.