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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

M•• F••••• L••

CRD 282270

KINGSTON, NY

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Search this name across graphsid dfx:ria:d02fee3a-ab3c-154c-41d2-51d860a111ff

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Nov 25, 2015 to Mar 17, 2026
18 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 34
Advisory employees: 12
Offices

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• C••••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2018	May 9, 2018	Mar 15, 2024
H•••••••• B••••	CHIEF FINANCIAL OFFICER	Na	yes	12/2018	Mar 29, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• H••••• I••••••••• I••	n/a	Mixed wealth	$3.8B	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	34	34	0	0

Relationships

Affiliated with (2)

→ M••••• H••••• I••••••••• I••Registered adviserother investment adviser, control, common control
factForm ADV
← M••••• H••••• I••••••••• I••Registered adviserother investment adviser, control
factForm ADV

Controls (5)

← M••••• H••••• I••••••••• I••OwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 25, 2015 to Mar 15, 2024factForm ADV
← A•••••• C••••••• M••••••Owner

Dated events

Occurred
Mar 30, 2021
Control person left
Glaser Lowell Miller (Chief Investment Officer) no longer on Schedule A of M•• F••••• L•• (listed 2020-03-25, absent 2021-03-30)
Form ADVobserved 7 days ago
Occurred
Mar 25, 2020
Regulatory AUM changed
M•• F••••• L•• reported RAUM $80.4M, down 67% from $246.0M (2019-03-29 to 2020-03-25)
Form ADVobserved 7 days ago
$-166M
Occurred
Mar 29, 2019
Regulatory AUM changed
M•• F••••• L•• reported RAUM $246.0M, up 108% from $118.5M (2018-11-20 to 2019-03-29)
Form ADVobserved 7 days ago
$127M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d02fee3a-ab3c-154c-41d2-51d860a111ff
First observed: Nov 25, 2015
Last observed: Mar 17, 2026 6 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.