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SEC-registered adviser
M••••••• A••••••• I••
Wealth manager with institutional or fund businessNew York, New YorkCRD 105918SEC 801-45235websiteIAPD
Legal name M••••••• A••••••• I•••••••••
Latest filing Sep 14, 2026
First filing on the tape Mar 27, 2012 · 33 filings
SEC status approved since Nov 23, 1993
RAUM
$671M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
21%
$141M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$335M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$671M as of Mar 26, 2026
Mar 27, 2012$241M then
HNW client RAUM$141M as of Mar 26, 2026
Mar 26, 2018$44.5M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 25, 20130 then
Employees (5.A)5 as of Mar 26, 2026
Mar 25, 20134 then
Private funds1 as of Mar 26, 2026
Mar 27, 20121 then
RAUM +3.6% over the last fiscal year+41% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 14, 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
- $335MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $22.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $2.5M, 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)
- 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
- Other investment advisers$499M74%
- High-net-worth individuals$141M21%
- Pooled investment vehicles$29.3M4.4%
- Charitable organizations$1.2M0.2%
- Individual clients
- n/areported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.21 fund_share=0.79 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• M•••• L•••••• | New York, Ny | Nov 28, 2020 | 34 y | 0 |
| J••• A•••• L••••••Chartered Financial Analyst | New York, Ny | Dec 1, 2021 | 21 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• A•••• L•••••• from A••••••••• L•••Dec 1, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• P•••••••• L••• | Hedge Fund | $25.0M | 55 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• K••••••• M•••• · Executive Chairman And Shareholder And Director And Treasurercontrolsince 09/1992 · owns 25% to 50%
- T••••• L••• · Shareholder And Directorcontrolsince 09/1992 · owns 5% to 10%
- C•••• N•••• T• · Shareholdersince 09/1992 · owns 5% to 10%
- K••••••••• H••••• T• · Shareholdersince 09/1992 · owns 5% to 10%
- L••••••• J•••• A•••• · President, Shareholder And Directorsince 12/2012 · owns 50% to 75%
- M••••••••• L••• · Vice President And Chief Compliance Officersince 03/2002 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 26, 2026 to Sep 14, 2026
- Private funds · 1 to unsetMar 26, 2026 to Sep 14, 2026
- Succession · false to unsetMar 26, 2026 to Sep 14, 2026
- Accounts · 29 to 30Jul 17, 2025 to Mar 26, 2026
- Advisory activities · 3 to 4Jul 17, 2025 to Mar 26, 2026
- Charity clients · 1.0 to unsetJul 17, 2025 to Mar 26, 2026
- HNW clients · 19 to 24Jul 17, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 11-25Jul 17, 2025 to Mar 26, 2026
- Discretionary RAUM · $110M to $135MJul 17, 2025 to Mar 26, 2026
- HNW RAUM · $94.1M to $141MJul 17, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $538M to $536MJul 17, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $25.3M to $29.3MJul 17, 2025 to Mar 26, 2026
- RAUM · $647M to $671MJul 17, 2025 to Mar 26, 2026
- Related bank · false to trueJul 17, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Mar 17, 2025 to Jul 17, 2025
- Accounts · 30 to 29Jun 10, 2024 to Mar 17, 2025
- Assets in custody · $26.4M to $2.5MJun 10, 2024 to Mar 17, 2025
- Discretionary RAUM · $107M to $110MJun 10, 2024 to Mar 17, 2025
- HNW RAUM · $88.5M to $94.1MJun 10, 2024 to Mar 17, 2025
- Individual RAUM · 1143000.0 to unsetJun 10, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $306M to $538MJun 10, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $26.4M to $25.3MJun 10, 2024 to Mar 17, 2025
- RAUM · $413M to $647MJun 10, 2024 to Mar 17, 2025
- Charity clients · unset to 1.0Jul 10, 2023 to Mar 19, 2024
- Pooled vehicle clients · 1 to 2Jul 10, 2023 to Mar 19, 2024
- Assets in custody · $25.0M to $26.4MJul 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $90.8M to $107MJul 10, 2023 to Mar 19, 2024
- HNW RAUM · $76.9M to $88.5MJul 10, 2023 to Mar 19, 2024
- Individual RAUM · $1.0M to $1.1MJul 10, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $149M to $306MJul 10, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $21.3M to $26.4MJul 10, 2023 to Mar 19, 2024
- RAUM · $240M to $413MJul 10, 2023 to Mar 19, 2024
- Related adviser · true to falseJul 10, 2023 to Mar 19, 2024
- Related insurance company · true to falseJul 10, 2023 to Mar 19, 2024
- Accounts · 29 to 30Oct 3, 2022 to Mar 15, 2023
- Employees · 4 to 5Oct 3, 2022 to Mar 15, 2023
- Discretionary RAUM · $107M to $90.8MOct 3, 2022 to Mar 15, 2023
- HNW RAUM · $91.8M to $76.9MOct 3, 2022 to Mar 15, 2023
- Individual RAUM · $1.3M to $1.0MOct 3, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $354M to $149MOct 3, 2022 to Mar 15, 2023
Signals
5 dated events
- M••••••• A••••••• I•• reported RAUM $647.5M, up 57% from $413.1M (2024-06-10 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- M••••••• A••••••• I•• reported RAUM $413.1M, up 72% from $240.1M (2023-07-10 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- M••••••• A••••••• I•• reported RAUM $240.1M, down 48% from $460.9M (2022-10-03 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- M••••••• A••••••• I•• reported RAUM $370.8M, up 96% from $189.4M (2020-10-21 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- M••••••• A••••••• I•• reported RAUM $174.7M, down 60% from $436.5M (2017-03-27 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
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 email
- i••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 347-685-1935reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-888-4747reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-888-4747reportedpublic record, Form ADV, Sep 14, 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
- $335Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026