DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
M•• S••••••••• L••
Latest filing Apr 18, 2019
First filing on the tape Mar 26, 2012 · 43 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
106
33 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)33 as of Mar 27, 2019
Mar 26, 20120 then
Employees (5.A)106 as of Mar 27, 2019
Apr 1, 201355 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 38 to 33
Practice profile
derived from the filing of Apr 18, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 1.6derived20 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 388reported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- S••••• J••••• W•••••• to U•• S••••••••• I•••Jan 6, 2020 · Other
- L••••• C•••••• M•••••••• to C••••••• S••••• I••••••••• M•••••••••Dec 31, 2019 · Other
- C••••••••• R••••• C••• to D••• D••••••• • C••Dec 31, 2019 · Other
- B•••• M•••••• Z••• to W••••••••• R••••••••• A•••••••Dec 31, 2019 · Other
- J•• W• H••• to K••••• A••••••• S•••••••• L••Dec 31, 2019 · Other
- C•••••• W••••••• to C••••••• P•••••••Dec 31, 2019 · Other
- M•••••• E••••• S•••••••• to F••••••Nov 30, 2018 · Other
- K•••• M•••••• C•••••• to U•• A•••••••Dec 18, 2017 · Other
- H••••• P••• K••••••• to L•••••• I••••••••• A•••••••• L••Sep 8, 2017 · Other
- C•••••••• A••• T•••••• to S•••Jul 21, 2017 · Other
- C•••••• F•••••• M•••••••• to L•• F•••••••• L••Jun 7, 2016 · Other
- C••••••••• P•••• M•••••• H••••• to I••••••••• F•••••••• P•••••••Jul 7, 2015 · Other
- K••• G••••• S•••• to C••••••• A•••••••• L••Apr 17, 2015 · Other
- K••••• J• C•••• to C••••••• P••••••• I••••••••• A•••••••• L••Feb 27, 2015 · Other
- A••••• H•••• S•••••• to R••••• W• B•••• • C•• I•••••••••Dec 18, 2014 · Other
Joined, latest
- B•••• M•••••• Z••• from C•••••••Oct 5, 2017 · Other
- K•••• M•••••• C•••••• from C•••••• C••••• G••••• I•••Sep 14, 2017 · Other
- C•••••• W••••••• from L•• F•••••••• L••Feb 17, 2017 · Other
- M•••••• E••••• S•••••••• from L•• F•••••••• L••Dec 22, 2016 · Other
- C•••••••• A••• T•••••• from P•••••••• S••••••••• I•••May 10, 2016 · Other
- R••• M•••••• S••••• from S•••••••• F••••••••• I•••Nov 11, 2014 · Other
- G••• L••• G•••••• from S•••••••• F••••••••• I•••Nov 6, 2014 · Other
- W•••••• J••••• P••••••• from S•••••••• F••••••••• I•••Sep 17, 2014 · Other
- K••• G••••• S•••• from N•• A•••••• S•••••••• L••Nov 4, 2011 · Other
- L••••• C•••••• M•••••••• from S••••••• K••••• L••Jun 14, 2011 · Other
- C••••••••• P•••• M•••••• H••••• from E•••••••• A•••••••• L••Jan 24, 2011 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• H•••• S•••••• from W•••••• • R•••Jan 10, 2011 · Other
- L••• F•••• V••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 29, 2010 · Other
- J•••••• R••••• K•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 29, 2010 · Other
- C•••••• F•••••• M•••••••• from A••••••• S••••••••• G••••• I•••Jul 22, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• F••••••••• I•••Jul 6, 2018 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• K••••••• L••• · Co-President, Finop, Pfo, Poo, Director (Elected Manager) And Treasurercontrolsince 10/2008 · owns less than 5%
- H••• C•• H••• · Co-President, Assistant Secretary And Director (Elected Manager)controlsince 11/2008 · owns less than 5%
- E••••••••• C••••••••• · Assistant Secretary And Director (Elected Manager)since 09/2012 · owns less than 5%
- L••••••••• M•••••• A••••• · Corporate Secretarysince 11/2007 · owns less than 5%
- S••••••• T••• K•••••• · Directorsince 05/2018 · owns less than 5%
Entity owners
- M•••• I•••••••• • I••••••••• L•• · Sole Memberdirect · owns 75% or more
- G•• C•••••••• • C••••••• L•• · Ownerindirect · owns 75% or more of S•••••• • S•••• L••
- M•••• • M••••••• A••••• L•• · Ownerindirect · owns 25% to 50% of S•••••• • S•••• L••
- M•••• • M••••••• C••••••••• I••• · Memberindirect · owns 75% or more of M•••• L•• · public reporting company
- M•••• L•• · Shareholderindirect · owns 75% or more of M•••• U•• I•••
- M•••• U•• I••• · Ownerindirect · owns 75% or more of M•••• • M••••••• A••••• L••
- S•••••• • S•••• L•• · Ownerindirect · owns 75% or more of M•••• I•••••••• • I••••••••• L••
Related persons
Schedule D 7.A
- M•••• • M••••••• A•••••• L••real estaten
- M•••• I•••••••• • I••••••••• L••real estatey
- M••••• ••• I•••LP sponsorn
- M••••• G••••• I••••••••• C••••• L••••••investment advisern
- M••••• H••••• • B••••••• L••real estaten
- M••••• I••••••••• L••investment adviserbankpooled vehicle sponsorLP sponsornRAUM $226B
- M••••• T•••• C••••••n
- M•• S••••••••• L••broker-dealerinvestment adviserLP sponsorreal estaten
Advisers that list M•• S••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC4 employees
- Tampa, FL4 employees
- Boston, MA4 employees
- San Diego, CA3 employees
- Hartford, CT3 employees
- Chicago, IL2 employees
- San F••••••Co, CA2 employees
- Washington Dc, DC2 employees
- Richmond, VA1 employees
- Norwalk, CT1 employees
- Denver, CO1 employees
- Philadelphia, PA1 employees
- Pittsburgh, PA1 employees
- Wilmington, DE1 employees
- Minneapolis, MN1 employees
- Spokane, WA1 employees
- Portland, OR1 employees
- Atlanta, GA1 employees
- Houston, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 38 to 33Mar 29, 2018 to Mar 27, 2019
- BD registered reps · 112 to 106Mar 29, 2018 to Mar 27, 2019
- Pension plan clients · 425 to 388Mar 29, 2018 to Mar 27, 2019
- Employees · 128 to 106Mar 29, 2018 to Mar 27, 2019
- State-registered IARs · 38 to 33Mar 29, 2018 to Mar 27, 2019
- Pension plan clients · unset to 425.0Sep 11, 2017 to Mar 29, 2018
- Other offices · unset to 19.0Sep 11, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Sep 11, 2017 to Mar 29, 2018
- Advisory employees · 33 to 38Sep 26, 2016 to Mar 31, 2017
- BD registered reps · 33 to 112Sep 26, 2016 to Mar 31, 2017
- Employees · 33 to 128Sep 26, 2016 to Mar 31, 2017
- State-registered IARs · 33 to 38Sep 26, 2016 to Mar 31, 2017
- Succession · true to falseJan 28, 2016 to Feb 1, 2016
- Advisory employees · 50 to 33Jan 12, 2016 to Jan 28, 2016
- BD registered reps · 50 to 33Jan 12, 2016 to Jan 28, 2016
- Business name · M•• S••••••••• C•••• to M•• S••••••••• L••Jan 12, 2016 to Jan 28, 2016
- Employees · 142 to 33Jan 12, 2016 to Jan 28, 2016
- Insurance-licensed employees · 4 to 0Jan 12, 2016 to Jan 28, 2016
- State-registered IARs · 50 to 33Jan 12, 2016 to Jan 28, 2016
- Legal name · M•• S••••••••• C•••• to M•• S••••••••• L••Jan 12, 2016 to Jan 28, 2016
- Organization form · Corporation to Limited Liability CompanyJan 12, 2016 to Jan 28, 2016
- Succession · false to trueJan 12, 2016 to Jan 28, 2016
- Advisory activities · 2 to 3Apr 30, 2015 to Oct 28, 2015
- Advisory employees · 42 to 50Mar 24, 2015 to Mar 31, 2015
- BD registered reps · 42 to 50Mar 24, 2015 to Mar 31, 2015
- Employees · 144 to 142Mar 24, 2015 to Mar 31, 2015
- Insurance-licensed employees · 0 to 4Mar 24, 2015 to Mar 31, 2015
- State-registered IARs · 42 to 50Mar 24, 2015 to Mar 31, 2015
- Business name · M••••• D• A•••••••• M•• N•• E••••••• M••••• H• • B• E•••• B••••••• to M•• S••••••••• C••••Apr 2, 2014 to Sep 2, 2014
- Business name · M•• S••••••••• C•••• to M••••• D• A•••••••• M•• N•• E••••••• M••••• H• • B• E•••• B•••••••Mar 31, 2014 to Apr 2, 2014
- Advisory employees · 55 to 42Mar 11, 2014 to Mar 31, 2014
- BD registered reps · 55 to 42Mar 11, 2014 to Mar 31, 2014
- Employees · 55 to 144Mar 11, 2014 to Mar 31, 2014
- Insurance-licensed employees · 55 to 0Mar 11, 2014 to Mar 31, 2014
- State-registered IARs · 55 to 42Mar 11, 2014 to Mar 31, 2014
- Advisory employees · unset to 55.0Sep 19, 2012 to Apr 1, 2013
- BD registered reps · unset to 55.0Sep 19, 2012 to Apr 1, 2013
- Employees · unset to 55.0Sep 19, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 55Sep 19, 2012 to Apr 1, 2013
- Related bank · false to trueSep 19, 2012 to Apr 1, 2013
Signals
1 dated events
- M•• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 28, 2016 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- M•• S••••••••• C•••• · Private Equityshared crd · intermediary
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026