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••••••• I••••••••• C•••••• M••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Oct 4, 1996
RAUM
$6.6B
reported, Item 5.F
Discretionary
100%
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
83
22 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$6.6B as of Jul 29, 2026
Mar 29, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 29, 2026
Mar 29, 20120 then
Employees (5.A)83 as of Jul 29, 2026
Mar 28, 2013103 then
Private funds2 as of Jul 29, 2026
Mar 29, 20122 then
RAUM -3.4% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $175MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.4%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $100M, 1 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$5.1B77%
- Pooled investment vehicles$1.5B23%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $100M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=9.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• A••• F••••••••• D••••••• F•••no longer reported | Other Private Fund | $460M | 439 | Mar 29, 2012 |
| M••••••• A••• I••••••••• F•••• L•• • A••• E• C•••• E••••• S••••• | Other Private Fund | $67.1M | 1 | Mar 31, 2023 |
| M••••••• A••• I••••••••• F•••• L•• • J•••• O••••••••• S••••• | Other Private Fund | $61.9M | 7 | Mar 29, 2019 |
| M••••••• A••• I••••••••• F••••• L•• • C•••• A• S•••• S••••• | Other Private Fund | $4.1M | 11 | Mar 29, 2018 |
| M••••••• A•••• S••••••••• F•••• P•• | Other Private Fund | $0 | 0 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• J••••• C••••• · Chief Executive Officer/Director/Membercontrolsince 06/2022 · owns less than 5%
- D•••• S••••• D•••• · General Counsel/Secretary/Membercontrolsince 07/2022 · owns less than 5%
- D•••• C••••••••• M• · Chairman/Directorcontrolsince 04/2024 · owns less than 5%
- H••••••• M•••• W••• · Membercontrolsince 04/2009 · owns 5% to 10%
- K•••• J•••• D•••• · Global Head Of Risk And Compliance/Chief Compliance Officer/Membercontrolsince 08/2017 · owns less than 5%
- L•••••• J••••••• D••• · Directorcontrolsince 01/2011 · owns less than 5%
- M•••••••• G•••••• P••• · Director/Membercontrolsince 04/2009 · owns 5% to 10%
- N••••••••• T•••••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- S•••• N••••••• · Directorcontrolsince 04/2023 · owns less than 5%
- S••••• D••••••• C• · Director/Membercontrolsince 04/2021 · owns less than 5%
- T•••••• S••• · Chief Investment Officer/Membercontrolsince 01/2024 · owns less than 5%
- M•••••••• D••••••• K• · Membersince 01/2023 · owns 5% to 10%
Entity owners
- F••• I•• U•• L•• · Sole General Partnerindirect · owns 75% or more of L••••• M•••••• E••••• A••••••• I•• L•
- L••••• M•••••• E••••• A•••••• I•• L• · Sole General Partnerindirect · owns F of M••• I••••••••• P••••••••• L•
- L••••• M•••••• E••••• A••••••• I•• L• · Sole General Partnerindirect · owns F of L••••• M•••••• E••••• P••••••• I•• L•
- L••••• M•••••• E••••• P••••••• I•• L• · Sole Managing Memberindirect · owns 50% to 75% of L• M••••••• H••••••• I•• L••
- L••••• M•••••• E••••• P••••••• I•••• L• · Sole S••••Holderindirect · owns 75% or more of M••• I••••••••• H••••••• I•••
- L••••• M•••••• H••••••• L•• · Sole Managing Memberindirect · owns 75% or more of L••••• M•••••• P••••••• L••
- L••••• M•••••• P••••••• L•• · Sole Managing Memberindirect · owns 75% or more of F••• I•• U•• L••
- M••• I••••••••• H••••••• I••• · Sole L•••••• Partnerindirect · owns 75% or more of M••• I••••••••• P••••••••• L•
- M••• I••••••••• P••••••••• L• · Sole Managing Memberindirect · owns 75% or more of L• M••••••• H••••••• I•••• L••
- M••••• F•••••••• G••••• I••• · Parentindirect · owns 75% or more of M••••• B•••• L••• · public reporting company
- R•••• B••• O• C••••• · Parentindirect · owns 75% or more of R•• U•• H••••• C••••••••• · public reporting company
- L• M••••••• H••••••• I•• L•• · Memberdirect · owns 10% to 25%
- L• M••••••• H••••••• I•••• L•• · Memberdirect · owns 5% to 10%
- M••••• B•••• L••• · Memberdirect · owns 10% to 25%
- R•• U•• H••••• C••••••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- M••••••• G••••• I•••••••• •••• K•••• L••••••broker-dealerinvestment advisery
- M••••••• G••••• I•••••••• ••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
- Admiralty, Hong Kong7 employees
- Shanghai, China2 employees
- Jersey City, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 45 to 38Oct 31, 2025 to Mar 31, 2026
- Advisory employees · 30 to 22Oct 31, 2025 to Mar 31, 2026
- BD registered reps · 16 to 9Oct 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 14Oct 31, 2025 to Mar 31, 2026
- Assets in custody · $101M to $100MOct 31, 2025 to Mar 31, 2026
- Employees · 104 to 83Oct 31, 2025 to Mar 31, 2026
- Private funds · 3 to 2Oct 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.9B to $6.6BOct 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.4B to $1.5BOct 31, 2025 to Mar 31, 2026
- RAUM · $6.9B to $6.6BOct 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Accounts · 44 to 45Dec 2, 2024 to Mar 31, 2025
- Advisory employees · 33 to 30Dec 2, 2024 to Mar 31, 2025
- BD registered reps · 21 to 16Dec 2, 2024 to Mar 31, 2025
- Pooled vehicle clients · 20 to 19Dec 2, 2024 to Mar 31, 2025
- Assets in custody · $133M to $101MDec 2, 2024 to Mar 31, 2025
- Employees · 123 to 104Dec 2, 2024 to Mar 31, 2025
- Other offices · 3 to 2Dec 2, 2024 to Mar 31, 2025
- Private funds · 4 to 3Dec 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.3B to $6.9BDec 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.9B to $1.4BDec 2, 2024 to Mar 31, 2025
- RAUM · $9.3B to $6.9BDec 2, 2024 to Mar 31, 2025
- Accounts · 40 to 44Feb 2, 2024 to Mar 28, 2024
- Advisory employees · 39 to 33Feb 2, 2024 to Mar 28, 2024
- BD registered reps · 25 to 21Feb 2, 2024 to Mar 28, 2024
- Assets in custody · $142M to $133MFeb 2, 2024 to Mar 28, 2024
- Employees · 153 to 123Feb 2, 2024 to Mar 28, 2024
- Discretionary RAUM · $13B to $9.3BFeb 2, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $2.4B to $1.9BFeb 2, 2024 to Mar 28, 2024
- RAUM · $13B to $9.3BFeb 2, 2024 to Mar 28, 2024
- Accounts · 34 to 40Jul 7, 2022 to Mar 31, 2023
- Advisory employees · 37 to 39Jul 7, 2022 to Mar 31, 2023
- BD registered reps · 21 to 25Jul 7, 2022 to Mar 31, 2023
- Pooled vehicle clients · 17 to 20Jul 7, 2022 to Mar 31, 2023
- Assets in custody · $116M to $142MJul 7, 2022 to Mar 31, 2023
- Other offices · 2 to 3Jul 7, 2022 to Mar 31, 2023
- Private funds · 3 to 4Jul 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $25B to $13BJul 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.6B to $2.4BJul 7, 2022 to Mar 31, 2023
- RAUM · $25B to $13BJul 7, 2022 to Mar 31, 2023
Signals
34 dated events
- M••••••• I••••••••• C•••••• M••••••••• L•• reported RAUM $6.9B, down 26% from $9.3B (2024-12-02 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- M Christopher Doll (Chairman/Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••May 20, 2024 · Control person joined · fact
- J. Christopher Carey (Chairman/Director) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2024-03-28, absent 2024-05-20)May 20, 2024 · Control person left · inference
- M••••••• I••••••••• C•••••• M••••••••• L•• reported RAUM $9.3B, down 28% from $13.0B (2024-02-02 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S••• N••••••• (Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Feb 2, 2024 · Control person joined · fact
- S••• T••••• (Chief Investment Officer/Member) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Feb 2, 2024 · Control person joined · fact
- James Robert Horrocks (Chief Investment Officer/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2023-03-31, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- Thomas John Hyland (Director/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2023-03-31, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- Nmn Masamichi Ishikawa (Director) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2023-03-31, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- M••••••• I••••••••• C•••••• M••••••••• L•• reported RAUM $13.0B, down 49% from $25.2B (2022-07-07 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Walter David Monroe (General Counsel/Secretary/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2022-07-07, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Deepa Damre Smith (General Counsel/Secretary/Member) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- John William Hackett (Chief Executive Officer/Director/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2022-07-07)Jul 7, 2022 · Control person left · inference
- Cooper James Abbott (Chief Executive Officer/Director/Member) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Jul 7, 2022 · Control person joined · fact
- Nmn Masamichi Ishikawa (Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- C Deborah Segal (Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- Goji Fujishiro (Director) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2020-05-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Ming Yu Wang (Global Chief Investment Officer/President) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2020-05-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Theresa Noriega-Lum (Chief Financial Officer) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- Ming Yu Wang (Global Chief Investment Officer/President) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- Sharat Shroff (Portfolio Manager / Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2019-12-17, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Alexander David Hartley (Chief Financial Officer/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2019-12-17, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Lee Frank Wheeler (Global Head Of Distribution/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2019-12-17, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Megan Lindsay Wright (Global Chief Operating Officer) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2019-12-17, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Megan Lindsay Wright (Global Chief Operating Officer) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Aug 12, 2019 · Control person joined · fact
- Thomas John Hyland (Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Aug 12, 2019 · Control person joined · fact
- J. Christopher Carey (Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Aug 12, 2019 · Control person joined · fact
- Edward James Walter (Head Of Investment Operations/Member) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2019-06-13, absent 2019-08-12)Aug 12, 2019 · Control person left · inference
- Eugene Bill Sappington (Director) no longer on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L•• (listed 2019-06-13, absent 2019-08-12)Aug 12, 2019 · Control person left · inference
- Eugene Bill Sappington (Director) appeared on Schedule A of M••••••• I••••••••• C•••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- M••••••• I••••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- H••••://M•••••••A•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-788-7553reportedpublic record, Form ADV, Jul 29, 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
- Asset manager (funds and pooled vehicles)deriveda 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