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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SEC-registered adviser
M••• A•••• M••••••••• L•
Latest filing Apr 24, 2026
First filing on the tape Mar 26, 2012 · 30 filings
SEC status approved since Feb 20, 1987
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
38%
$430M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Apr 24, 2026
Mar 26, 2012$211M then
HNW client RAUM$430M as of Apr 24, 2026
Mar 6, 2018$284M then
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Mar 26, 20120 then
Employees (5.A)9 as of Apr 24, 2026
Mar 27, 20139 then
Private funds2 as of Apr 24, 2026
Mar 19, 20145 then
RAUM +6.7% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $23.9MderivedHNW RAUM over HNW clients
- Average account
- $45.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $471M, 2 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$471M41%
- High-net-worth individuals$430M38%
- Charitable organizations$215M19%
- Pension and profit-sharing plans$25.3M2.2%
- Individual clients
- n/areported
- HNW clients
- 18reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $471M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.38 fund_share=0.41 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• P•••••••• L• | Hedge Fund | $408M | 29 | Apr 16, 2013 |
| M••• E••••• O••••••••• F•••• L• | Hedge Fund | $63.7M | 11 | Oct 28, 2013 |
| M•••no longer reported | Hedge Fund | $10.1M | 6 | Apr 16, 2013 |
| M••• E••••• O••••••••• H•••••••• L•no longer reported | Hedge Fund | $3.0M | 4 | Oct 28, 2013 |
| S•••• P•••••••• L•no longer reported | Hedge Fund | $1.5M | 5 | Apr 16, 2013 |
| M••• I••••••••• P•••••••• L•no longer reported | Hedge Fund | $737,000 | 0 | Apr 16, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••• H••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- B••••••••• K••••• J•• · Chief Financial Officer, Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- M•••• M••••••• C•••• · Executive Chairman And Co- Chief Investment Officercontrolsince 04/2025 · owns less than 5%
- M•••• M•••••• N•• · Limited Partner, President, And Co-Chief Investment Officercontrolsince 11/2018 · owns 25% to 50%
- M•••• S••••• L•••• · Limited Partnercontrolsince 11/2018 · owns 25% to 50%
- M•••• M•••••• N•• · Managing Membercontrolsince 11/2018 · owns 50% to 75% of M••• A•••• M••••••••• G• L••
- M•••• S••••• L•••• · Membercontrolsince 11/2018 · owns 50% to 75% of M••• A•••• M••••••••• G• L••
Entity owners
- M••• A•••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- M••••• M•••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 24, 2026M•••• M••••••• C•••• (EXECUTIVE CHAIRMAN AND CO- CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2019-01-22 and 2026-04-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 24, 2026B•••••• M••••• H••••• (CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2019-01-22 and 2026-04-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 24, 2026B••••••••• K••••• J•• (CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2019-01-22 and 2026-04-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Advisory employees · 5 to 7Mar 27, 2026 to Apr 24, 2026
- Assets in custody · $471M to $471MMar 27, 2026 to Apr 24, 2026
- Employees · 10 to 9Mar 27, 2026 to Apr 24, 2026
- Discretionary RAUM · $1.1B to $1.1BMar 27, 2026 to Apr 24, 2026
- Pooled vehicle RAUM · $471M to $471MMar 27, 2026 to Apr 24, 2026
- RAUM · $1.1B to $1.1BMar 27, 2026 to Apr 24, 2026
- Assets in custody · $478M to $471MJan 22, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.1BJan 22, 2026 to Mar 27, 2026
- HNW RAUM · $387M to $430MJan 22, 2026 to Mar 27, 2026
- Pension RAUM · $23.2M to $25.3MJan 22, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $478M to $471MJan 22, 2026 to Mar 27, 2026
- RAUM · $1.1B to $1.1BJan 22, 2026 to Mar 27, 2026
- Assets in custody · $478M to $478MMar 31, 2025 to Jul 8, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 8, 2025
- Discretionary RAUM · $1.1B to $1.1BMar 31, 2025 to Jul 8, 2025
- Pooled vehicle RAUM · $478M to $478MMar 31, 2025 to Jul 8, 2025
- RAUM · $1.1B to $1.1BMar 31, 2025 to Jul 8, 2025
- Advisory employees · 6 to 5Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $326M to $478MMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $787M to $1.1BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $316M to $387MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $17.1M to $23.2MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $326M to $478MMar 28, 2024 to Mar 31, 2025
- RAUM · $787M to $1.1BMar 28, 2024 to Mar 31, 2025
- Assets in custody · $389M to $326MMar 30, 2023 to Mar 28, 2024
- Employees · 9 to 10Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $759M to $787MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $269M to $316MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $12.2M to $17.1MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $389M to $326MMar 30, 2023 to Mar 28, 2024
- RAUM · $759M to $787MMar 30, 2023 to Mar 28, 2024
- Accounts · 26 to 25Mar 31, 2022 to Mar 30, 2023
- HNW clients · 19 to 18Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $592M to $389MMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.1B to $759MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $362M to $269MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · $19.2M to $12.2MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $592M to $389MMar 31, 2022 to Mar 30, 2023
- RAUM · $1.1B to $759MMar 31, 2022 to Mar 30, 2023
- Accounts · 27 to 26Mar 30, 2021 to Mar 31, 2022
Signals
4 dated events
- M••• A•••• M••••••••• L• reported RAUM $1.1B, up 36% from $786.6M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- M••• A•••• M••••••••• L• reported RAUM $758.7M, down 33% from $1.1B (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- M••• A•••• M••••••••• L• reported RAUM $1.0B, up 92% from $537.7M (2020-11-16 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- M••• A•••• M••••••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 3, 2018 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-372-2500reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M•••-ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- M•••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-372-2500reportedpublic record, Form ADV, Apr 24, 2026
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
- Wealth manager with institutional or fund businessderiveda 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