DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

M••••• C•••••• M••••••••• A••••••• L••

CRD 157073

CHICAGO, IL

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Search this name across graphsid dfx:ria:d5c1a775-1305-0544-36a4-d82909285284

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 69
Dated events: 3
On other graphs: 3
Observed: Mar 9, 2012 to Mar 27, 2026
35 observations

Across DFX

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

Private Equityidentity

M••••• C•••••• M••••••••• A••••••• L••

Private equity manager · cited, shared crd

Allocatorsidentity

M••••• C•••••• M••••••••• A••••••••

Manager with allocator commitments · cited, shared crd

Private Creditidentity

M••••• C•••••• M••••••••• A••••••• L••

Private credit manager · cited, shared crd

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=0.98 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $19B••• Locked
Discretionary RAUM: $19B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 282

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• C•••••• P•••••• C••••• M••••• F••• I• S•••	Other Private Fund	$1.7B	Mar 29, 2024	358	Mar 31, 2021	reported	021-378114
M••••• P•••••• C••••• F••• A• L•	Other Private Fund	$1.7B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• T•••••• C••••••	VICE CHAIRMAN AND HEAD OF ORIGINATIONS	Na	yes	03/2007	Mar 9, 2012	Mar 29, 2024
E•••• M••••••• J•••	VICE CHAIRMAN AND CHIEF CREDIT OFFICER	Na	yes	03/2007	Mar 9, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• C•••••• B•• A•••••••• L••	n/a	ASSET_M••••••	$6.7B	N	yes	n/a
H•••••• T••••••••• F•••••• M••••••••• L••	n/a	ASSET_M••••••	$811M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	13	no
SANTA MONICA	CA	United States	5	no
Naples	FL	United States	1	no
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
2025	$19B	$16B	15.8%	$15B	6.9%	282	239	6	5

Relationships

Affiliated with (4)

← H•••••• T••••••••• F••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ H•••••• T••••••••• F••••••Registered adviserother investment adviser, control, common control
factForm ADV
→ M••••• C•••••• B•• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← M••••• C•••••• B•• A•••••••• L••Registered adviser

Dated events

Occurred
Sep 2, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$4.5B
Occurred
Mar 30, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$2.7B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5c1a775-1305-0544-36a4-d82909285284
First observed: Mar 9, 2012
Last observed: Mar 27, 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.