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.

Former SEC-registered adviser

Merrill Lynch Alternative Investments LLC

Former SEC-registered adviserNew York, New YorkCRD 105067SEC 801-35676IAPD

Latest filing Mar 6, 2019

First filing on the tape Mar 29, 2012 · 59 filings

RAUM

$93.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

188

33 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$117M gross assets

History

59 filings and snapshots on the tape

RAUM$93.3M as of Mar 26, 2018

Mar 29, 2012$2.2B then

HNW client RAUM: no history

State-registered IARs (5.B.3)120 as of Mar 26, 2018

Mar 28, 2013142 then

Employees (5.A)188 as of Mar 26, 2018

Mar 28, 2013301 then

Private funds5 as of Mar 26, 2018

Mar 29, 201226 then

RAUM -20% over the last fiscal year-69% a year over threeIARs 129 to 120

Practice profile

derived from the filing of Mar 6, 2019; every figure names its basis

RAUM per advisor: $777,205derivedRAUM 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: $15.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 60.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: -20%derivedbetween the last two annual amendments
Advisor growth, one year: -7.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $93.3M, 6 clientsreportedItem 9.A
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

has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$93.3M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $93.3M for 6 clientsreported
Compensation: % of AUMreported
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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

53 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Ba Partners Fund V Buyout, Master Fund LLCno longer reported	Private Equity Fund	$222M	313	Mar 29, 2012
Ba Partners Fund Vi Blend LPno longer reported	Private Equity Fund	$161M	102	Mar 29, 2012
Event-Driven & Credit Hedgeaccess II LLCno longer reported	Hedge Fund	$132M	377	Mar 29, 2012
Core Global Equity Fund LLCno longer reported	Hedge Fund	$111M	36	May 18, 2012
Bacap Diversified Real Estate Fund, L.P.no longer reported	Private Equity Fund	$109M	430	Mar 29, 2012
Ba Partners Fund IV Buyout Master Fund, LLCno longer reported	Private Equity Fund	$93.6M	181	Mar 29, 2012
Ba Partners Fund Vii, L.P.no longer reported	Private Equity Fund	$90.6M	32	Jan 14, 2014
Ba Partners Fund V Opportunistic Real Estate, L.P.no longer reported	Private Equity Fund	$85.3M	208	Mar 29, 2012
Ba Partners Fund V Venture, Master Fund, LLCno longer reported	Private Equity Fund	$83.2M	303	Mar 29, 2012
Ba Institutional Investors, LLCno longer reported	Private Equity Fund	$78.6M	2	Mar 29, 2012
Excelsior Hedge Fund Direct LP - Kingdon Associatesno longer reported	Hedge Fund	$57.4M	68	Mar 29, 2012
Excelsior Private Equity Direct, LP - Bain Capital 2007	Private Equity Fund	$53.5M	128	Mar 29, 2012
Private Equity Portfolio Fund III, LLCno longer reported	Private Equity Fund	$50.6M	208	Mar 29, 2012
Ba Partners Fund IV New Century Master Fund, LLCno longer reported	Private Equity Fund	$47.6M	135	Mar 29, 2012
Ba Diversified Real Estate Fund, L.P.no longer reported	Private Equity Fund	$46.3M	271	Mar 29, 2012
Ba Partners Fund V International Master Fund, LLCno longer reported	Private Equity Fund	$40.8M	324	Mar 29, 2012
Merrill Lynch Private Equity Focus Fund, LLCno longer reported	Private Equity Fund	$37.8M	279	Mar 29, 2012
Private Equity Portfolio Fund II, LLCno longer reported	Private Equity Fund	$37.5M	406	Mar 29, 2012
Ba Partners Fund IV Venture Master Fund, LLCno longer reported	Private Equity Fund	$34.1M	166	Mar 29, 2012
Excelsior Alternative Investment Solutions, LLC: Cerberus Institutional Partners IV (Mf)	Private Equity Fund	$33.1M	165	Mar 29, 2012
Excelsior 2001 Partners Master Fund, LLCno longer reported	Private Equity Fund	$27.2M	104	Mar 29, 2012
Equity Long-Short Hedgeaccess II LLCno longer reported	Hedge Fund	$25.6M	80	Mar 29, 2012
Merrill Lynch Tailored Multi Manager Fund Xvii, L.P.no longer reported	Private Equity Fund	$25.4M	2	Mar 29, 2012
Merrill Lynch Private Equity Fund III, LLCno longer reported	Private Equity Fund	$24.4M	108	Mar 29, 2012
Merrill Lynch Tailored Multi Manager Fund Xviii, L.P.no longer reported	Private Equity Fund	$23.4M	2	Mar 29, 2012
Excelsior Partners Fund III LLCno longer reported	Private Equity Fund	$21.1M	1	Mar 29, 2012
Managed Alternative To Concentrated Holdingssm (1) Fund LLCno longer reported	Other Private Fund	$20.1M	26	Mar 29, 2012
Private Equity Portfolio Fund, LLCno longer reported	Private Equity Fund	$16.4M	183	Mar 29, 2012
Ba Partners Fund IV International Master Fund, LLCno longer reported	Private Equity Fund	$16.1M	160	Mar 29, 2012
Merrill Lynch Private Equity Focus Fund (Offshore), L.P.no longer reported	Private Equity Fund	$15.5M	101	Mar 29, 2012
Excelsior Private Equity Direct, LP - Blackstone Capital 2006	Private Equity Fund	$13.9M	46	Mar 29, 2012
Excelsior Private Equity Direct, LP - Prov Global 2007	Private Equity Fund	$11.8M	27	Mar 29, 2012
Ba 1998 Partners Master Fund II, L.P.no longer reported	Private Equity Fund	$8.9M	46	Mar 29, 2012
Excelsior Buyout Partners, LLCno longer reported	Private Equity Fund	$7.8M	58	Mar 29, 2012
Merrill Lynch Private Equity Fund III (Offshore) L.P.no longer reported	Private Equity Fund	$6.4M	25	Mar 29, 2012
Private Equity Portfolio Technology Fund, LLCno longer reported	Private Equity Fund	$5.0M	25	Mar 29, 2012
Excelsior Private Equity Direct, LP - Bain Capital 2006	Private Equity Fund	$4.5M	29	Mar 29, 2012
Ba Partners Fund Vi Blend (Cayman) LPno longer reported	Private Equity Fund	$4.4M	7	Mar 29, 2012
Merrill Lynch Private Equity Fund II, LLCno longer reported	Private Equity Fund	$4.0M	150	Mar 29, 2012
Private Equity Portfolio Fund III Offshore, L.P.no longer reported	Private Equity Fund	$3.1M	9	Mar 29, 2012

All funds of Merrill Lynch Alternative Investments LLC

Owners and control persons

Schedule A and B, latest filing

Ellen Barbra Kocsis · Chief Financial Officercontrol
since 06/2006 · owns less than 5%
Marcel Thomas Fortin · President
since 03/2019 · owns less than 5%
Wesley Christopher Thome · Chief Compliance Officer
since 03/2019 · owns less than 5%

Entity owners

Institutional Capital Network, Inc. · Sole Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Advisers that list Merrill Lynch Alternative Investments LLC as a related person

112613 n
157801 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Related adviser · true to false
Mar 1, 2019 to Mar 6, 2019
Related bank · true to false
Mar 1, 2019 to Mar 6, 2019
Related broker-dealer · true to false
Mar 1, 2019 to Mar 6, 2019
Advisory employees · 25 to 33
Nov 17, 2017 to Mar 26, 2018
BD registered reps · 129 to 120
Nov 17, 2017 to Mar 26, 2018
Pooled vehicle clients · unset to 6.0
Nov 17, 2017 to Mar 26, 2018
Assets in custody · $117M to $93.3M
Nov 17, 2017 to Mar 26, 2018
Employees · 193 to 188
Nov 17, 2017 to Mar 26, 2018
Insurance-licensed employees · 129 to 120
Nov 17, 2017 to Mar 26, 2018
State-registered IARs · 129 to 120
Nov 17, 2017 to Mar 26, 2018
Discretionary RAUM · $117M to $93.3M
Nov 17, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 93264650.0
Nov 17, 2017 to Mar 26, 2018
RAUM · $117M to $93.3M
Nov 17, 2017 to Mar 26, 2018
Other offices · unset to 1.0
Mar 30, 2017 to Nov 17, 2017
Accounts · 16 to 6
Mar 1, 2017 to Mar 30, 2017
Advisory employees · 30 to 25
Mar 1, 2017 to Mar 30, 2017
BD registered reps · 127 to 129
Mar 1, 2017 to Mar 30, 2017
Assets in custody · $276M to $117M
Mar 1, 2017 to Mar 30, 2017
Employees · 178 to 193
Mar 1, 2017 to Mar 30, 2017
Insurance-licensed employees · 115 to 129
Mar 1, 2017 to Mar 30, 2017
State-registered IARs · 115 to 129
Mar 1, 2017 to Mar 30, 2017
Private funds · 12 to 5
Mar 1, 2017 to Mar 30, 2017
Discretionary RAUM · $276M to $117M
Mar 1, 2017 to Mar 30, 2017
RAUM · $276M to $117M
Mar 1, 2017 to Mar 30, 2017
State-registered IARs · 140 to 115
Jan 14, 2016 to Mar 29, 2016
Accounts · 91 to 16
Jan 14, 2016 to Mar 29, 2016
Advisory employees · 78 to 30
Jan 14, 2016 to Mar 29, 2016
Advisory activities · 3 to 1
Jan 14, 2016 to Mar 29, 2016
BD registered reps · 181 to 127
Jan 14, 2016 to Mar 29, 2016
Assets in custody · $3.2B to $276M
Jan 14, 2016 to Mar 29, 2016
Employees · 317 to 178
Jan 14, 2016 to Mar 29, 2016
Insurance-licensed employees · 140 to 115
Jan 14, 2016 to Mar 29, 2016
Private funds · 53 to 12
Jan 14, 2016 to Mar 29, 2016
Discretionary RAUM · $3.2B to $276M
Jan 14, 2016 to Mar 29, 2016
RAUM · $3.2B to $276M
Jan 14, 2016 to Mar 29, 2016
Accounts · 103 to 91
Feb 18, 2015 to Mar 30, 2015
Advisory employees · 88 to 78
Feb 18, 2015 to Mar 30, 2015
Advisory activities · 2 to 3
Feb 18, 2015 to Mar 30, 2015
BD registered reps · 162 to 181
Feb 18, 2015 to Mar 30, 2015
Assets in custody · $3.8B to $3.2B
Feb 18, 2015 to Mar 30, 2015

Signals

8 dated events

Monir Nancy Fahmy (Chief Executive Officer & Manager) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2019-03-01, absent 2019-03-06)
Mar 6, 2019 · Control person left · inference
Kay Leslie Ross (Chief Legal Officer) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2019-03-01, absent 2019-03-06)
Mar 6, 2019 · Control person left · inference
Paul Kenneth Martin (Chief Compliance Officer) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2019-03-01, absent 2019-03-06)
Mar 6, 2019 · Control person left · inference
Evan Gregory Parets (Manager) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2018-05-16, absent 2019-03-01)
Mar 1, 2019 · Control person left · inference
Anthony Dominick Carlino (Manager) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2018-05-16, absent 2019-03-01)
Mar 1, 2019 · Control person left · inference
Babra Ninon Marapachi (Manager) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2018-05-16, absent 2019-03-01)
Mar 1, 2019 · Control person left · inference
Edward Jeff Mcgoey (Manager) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2018-05-16, absent 2019-03-01)
Mar 1, 2019 · Control person left · inference
Vincent John Leale (Manager) no longer on Schedule A of Merrill Lynch Alternative Investments Llc (listed 2018-05-16, absent 2019-03-01)
Mar 1, 2019 · Control person left · inference

Across DFX

shared identifiers only, never a name match

Merrill Lynch Alternative Investments LLC · Private Equity
shared crd · organization
Merrill Lynch Alternative Investments LLC · Venture Capital
shared crd · org

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

Across the graphs

Merrill Lynch Alternative Investments LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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