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••••• C•••••• M••••••••• I•••
Latest filing Mar 23, 2018
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$17B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$17B as of Mar 23, 2018
Mar 30, 2012$15B then
HNW client RAUM: $0
State-registered IARs (5.B.3)4 as of Mar 23, 2018
Apr 1, 20137 then
Employees (5.A)27 as of Mar 23, 2018
Apr 1, 201341 then
Private funds: no history
RAUM -3.7% over the last fiscal year-0.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 23, 2018; every figure names its basis
- RAUM per advisor
- $4.3BderivedRAUM 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
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B70%
- Pension and profit-sharing plans$4.7B28%
- State and municipal entities$422M2.5%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- S••••• M••• G••••• to G••••• C•••••• M••••••••• L••Feb 6, 2004 · Other
Joined, latest
- S••••• M••• G••••• from W••••••••• T•••• I••••••••• A•••••••• I•••Oct 31, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E••••••••• S••••• · Directorcontrolsince 09/2017 · owns less than 5%
- F•••••• W••••••• M••• · Director/Chief Investment Officercontrolsince 04/2010 · owns less than 5%
- H•••••• P••••••• G•••••• · Directorcontrolsince 09/2017 · owns less than 5%
- H••••• R•••••• W•••••• · Director/Presidentcontrolsince 01/2011 · owns less than 5%
- H••••••• J••• · Chief Financial Officercontrolsince 08/2007 · owns less than 5%
- J••••• K••••••• L••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- M••••••••• J••••• P•••••• · Directorcontrolsince 08/2007 · owns less than 5%
- M•••••••• B•••••• · Directorcontrolsince 01/2011 · owns less than 5%
- S••••• K••••• E•••••••• · General Counsel And Secretarycontrolsince 02/2008 · owns less than 5%
Entity owners
- P•••••••• G••••• I•••••••• H•••••• C•••••• U• L•• · Parent Company Of Applicantdirect · owns 75% or more · public reporting company
- P•••••••• F•••••••• G•••• I••• · 100% Ownerindirect · owns 75% or more of P•••••••• F•••••••• S••••••• I••• · public reporting company
- P•••••••• F•••••••• S••••••• I••• · 100% Ownerindirect · owns 75% or more of P•••••••• G••••• I•••••••• Holding Company (US) LLC
Related persons
Schedule D 7.A
- C••• P•••••••• I•••••• A•••• M••••••••• S•• B••investment advisern
- C••••••• C••••• I••••••••investment adviserpooled vehicle sponsornRAUM $2.3B
- D••••••• C•••••• G•••••••• • T•••• C••••••n
- F••••••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $3.2B
- F••••••••• M•••• L••••••investment adviserpooled vehicle sponsorn
- P•••••••• O•••••investment adviserpooled vehicle sponsornRAUM $4.6B
- P••• A••••••• G••••• L••investment adviserbankpooled vehicle sponsornRAUM $13B
- P•••••••• A•••• M••••••••• C•••••• ••••• L••••••investment advisern
- P•••••••• B•••n
- P•••••••• E••••••••• C••••••• L••investment adviserpooled vehicle sponsorn
- P•••••••• F•••••••• A•••••••• I•••investment adviserLP sponsornRAUM $9.0B
- P•••••••• F•••• D••••••••• I•••broker-dealern
- P•••••••• G••••• I•••••••• ••••••••• L•••investment advisern
- P•••••••• G••••• I•••••••• ••••••• L•••investment adviserbankpooled vehicle sponsorn
- P•••••••• G••••• I•••••••• •••• K•••• L•••investment advisern
- P•••••••• G••••• I•••••••• •••••••• L•••investment advisern
- P•••••••• G••••• I•••••••• •••••• L•••investment advisern
- P•••••••• G••••• I•••••••• ••••••••• L•••investment advisern
- P•••••••• G••••• I•••••••• T•••• C••••••n
- P•••••••• Asset Managementinvestment adviserbankpooled vehicle sponsoryRAUM $428B
- P•••••••• L••• I•••••••• C••••••real estaten
- P•••••••• N••••••• L••• I•••••••• C••••••real estaten
- P•••••••• R••• E•••••investment adviserpooled vehicle sponsornRAUM $106B
- P•••••••• S••••••••• I•••broker-dealerinvestment advisernRAUM $17B
- S••••••• A•••• M••••••••• I•••broker-dealerinvestment adviserbanknRAUM $24B
Advisers that list M••••• C•••••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 18 to 17May 19, 2017 to Mar 23, 2018
- Charity clients · unset to 0.0May 19, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0May 19, 2017 to Mar 23, 2018
- HNW clients · unset to 0.0May 19, 2017 to Mar 23, 2018
- Individual clients · unset to 0.0May 19, 2017 to Mar 23, 2018
- Pension plan clients · unset to 7.0May 19, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 9.0May 19, 2017 to Mar 23, 2018
- Employees · 29 to 27May 19, 2017 to Mar 23, 2018
- State-registered IARs · 5 to 4May 19, 2017 to Mar 23, 2018
- Other offices · unset to 0.0May 19, 2017 to Mar 23, 2018
- Discretionary RAUM · $14B to $14BMay 19, 2017 to Mar 23, 2018
- HNW RAUM · unset to 0.0May 19, 2017 to Mar 23, 2018
- Individual RAUM · unset to 0.0May 19, 2017 to Mar 23, 2018
- Non-discretionary RAUM · $3.8B to $3.3BMay 19, 2017 to Mar 23, 2018
- Pension RAUM · unset to 4742589011.0May 19, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 11848884532.0May 19, 2017 to Mar 23, 2018
- RAUM · $18B to $17BMay 19, 2017 to Mar 23, 2018
- Advisory employees · 14 to 13Mar 30, 2016 to Mar 22, 2017
- Employees · 30 to 29Mar 30, 2016 to Mar 22, 2017
- Discretionary RAUM · $13B to $14BMar 30, 2016 to Mar 22, 2017
- Non-discretionary RAUM · $3.5B to $3.8BMar 30, 2016 to Mar 22, 2017
- RAUM · $17B to $18BMar 30, 2016 to Mar 22, 2017
- Accounts · 17 to 18Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 16 to 14Mar 31, 2015 to Mar 30, 2016
- Employees · 29 to 30Mar 31, 2015 to Mar 30, 2016
- State-registered IARs · 6 to 5Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $14B to $13BMar 31, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $3.3B to $3.5BMar 31, 2015 to Mar 30, 2016
- RAUM · $17B to $17BMar 31, 2015 to Mar 30, 2016
- Accounts · 20 to 17Mar 31, 2014 to Mar 31, 2015
- Advisory employees · 14 to 16Mar 31, 2014 to Mar 31, 2015
- Employees · 35 to 29Mar 31, 2014 to Mar 31, 2015
- State-registered IARs · 7 to 6Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $15B to $14BMar 31, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $3.2B to $3.3BMar 31, 2014 to Mar 31, 2015
- RAUM · $18B to $17BMar 31, 2014 to Mar 31, 2015
- Accounts · 21 to 20Apr 1, 2013 to Mar 26, 2014
- Advisory activities · 4 to 3Apr 1, 2013 to Mar 26, 2014
- Employees · 41 to 35Apr 1, 2013 to Mar 26, 2014
- Discretionary RAUM · $16B to $15BApr 1, 2013 to Mar 26, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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