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••••• O• A•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 36 filings
SEC status approved since May 12, 1993
RAUM
$20B
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
37
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$20B as of Mar 31, 2026
Mar 29, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)37 as of Mar 31, 2026
Apr 1, 201339 then
Private funds: no history
RAUM +5.0% over the last fiscal year+3.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- 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
- $403MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%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
- +5.0%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 investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$15B76%
- Insurance companies$4.7B23%
- State and municipal entities$66.3M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.76 institutional_share=0.24 related_bd=true related_bank=false bd_reps=10.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J••••• A•••••• · Executive Vice President And General Counselcontrolsince 06/2022 · owns less than 5%
- G••••••••• J•••••• R••••• · President And Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- G••••••••• A••••••• · Executive Vice President, Chief Financial Officer And Treasurercontrolsince 06/2024 · owns less than 5%
- M•••••• K•••• L••••••• · Senior Vice President & Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- R•••• S••••••• J•••••• · Chairmancontrolsince 03/2021 · owns less than 5%
- R•••••• M•••••••• A••• · Executive Vice President, Enterprise Risk Management & Internal Auditorcontrolsince 03/2018 · owns less than 5%
- A••••••••• M•••• C••••••• · Board Managersince 06/2020 · owns less than 5%
- B•••••••• T••••••• A•• · Board Managersince 11/2000 · owns less than 5%
- C••••••• N•••••• M•••• · Board Managersince 05/2009 · owns less than 5%
- D••••• N••••••••• A••••• · Board Managersince 02/1996 · owns less than 5%
- H••••• J•••• E••••• · Board Managersince 07/2014 · owns less than 5%
- Q••••• C••••••••• C••••••• · Board Managersince 10/2005 · owns less than 5%
- Q••••• J••••• E••••• · Board Managersince 09/1998 · owns less than 5%
- S••••• J•••• J•••• · Board Managersince 06/2008 · owns less than 5%
Entity owners
- M••••• O• A•••••• H•••••• C•••••• L•• · Memberdirect · owns 75% or more
- M••••• O• A•••••• L••• I•••••••• C•••••• · Memberindirect · owns 75% or more of M••••• O• A•••••• H•••••• C•••••• L••
Related persons
Schedule D 7.A
- M••••• O• A•••••• L••• I•••••••• C••••••investment adviserLP sponsorreal estateyRAUM $434M
- M••••• O• A•••••• S••••••••• L••broker-dealern
Advisers that list M••••• O• A•••••• C•••••• M••••••••• L•• as a related person
- 15356 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 53 to 50Dec 4, 2025 to Mar 31, 2026
- Advisory employees · 24 to 22Dec 4, 2025 to Mar 31, 2026
- BD registered reps · 9 to 10Dec 4, 2025 to Mar 31, 2026
- Employees · 31 to 37Dec 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $19B to $20BDec 4, 2025 to Mar 31, 2026
- RAUM · $19B to $20BDec 4, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 7, 2025
- Accounts · 61 to 53Jan 28, 2025 to Mar 31, 2025
- BD registered reps · 10 to 9Jan 28, 2025 to Mar 31, 2025
- Employees · 34 to 31Jan 28, 2025 to Mar 31, 2025
- Discretionary RAUM · $18B to $19BJan 28, 2025 to Mar 31, 2025
- Pension RAUM · 30556276.0 to unsetJan 28, 2025 to Mar 31, 2025
- RAUM · $18B to $19BJan 28, 2025 to Mar 31, 2025
- Accounts · 88 to 61Feb 9, 2024 to Mar 30, 2024
- Advisory employees · 21 to 24Feb 9, 2024 to Mar 30, 2024
- BD registered reps · 9 to 10Feb 9, 2024 to Mar 30, 2024
- Employees · 32 to 34Feb 9, 2024 to Mar 30, 2024
- Discretionary RAUM · $18B to $18BFeb 9, 2024 to Mar 30, 2024
- Pension RAUM · $28.2M to $30.6MFeb 9, 2024 to Mar 30, 2024
- RAUM · $18B to $18BFeb 9, 2024 to Mar 30, 2024
- Accounts · 86 to 88Jul 14, 2022 to Mar 31, 2023
- Advisory employees · 22 to 21Jul 14, 2022 to Mar 31, 2023
- BD registered reps · 12 to 9Jul 14, 2022 to Mar 31, 2023
- Employees · 33 to 32Jul 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $21B to $18BJul 14, 2022 to Mar 31, 2023
- Pension RAUM · $30.9M to $28.2MJul 14, 2022 to Mar 31, 2023
- RAUM · $21B to $18BJul 14, 2022 to Mar 31, 2023
- Accounts · 71 to 86Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 21 to 22Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 14 to 12Mar 31, 2021 to Mar 31, 2022
- Employees · 32 to 33Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $20B to $21BMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $35.0M to $30.9MMar 31, 2021 to Mar 31, 2022
- RAUM · $20B to $21BMar 31, 2021 to Mar 31, 2022
- Accounts · 55 to 71Nov 20, 2020 to Mar 31, 2021
- BD registered reps · 13 to 14Nov 20, 2020 to Mar 31, 2021
- Charity clients · 1.0 to unsetNov 20, 2020 to Mar 31, 2021
- Pension plan clients · 6.0 to unsetNov 20, 2020 to Mar 31, 2021
- Employees · 30 to 32Nov 20, 2020 to Mar 31, 2021
- Discretionary RAUM · $19B to $20BNov 20, 2020 to Mar 31, 2021
Signals
8 dated events
- A••••••• G•••••••• (Executive Vice President, Chief Financial Officer And Treasurer) appeared on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L••Jun 25, 2024 · Control person joined · fact
- Warren Chris Festog (Senior Executive Vice President & Chief Financial Officer) no longer on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L•• (listed 2024-03-30, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- A••• Kathryn Lu (Executive Vice President & Chief Compliance Officer) no longer on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L•• (listed 2022-07-14, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- L••••••• K••• M••••• (Senior Vice President & Chief Compliance Officer) appeared on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Joseph James Roth (Sr. Executive Vice President & General Counsel) no longer on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2022-07-14)Jul 14, 2022 · Control person left · inference
- Anthony Jason D'Angelo (Executive Vice President And General Counsel) appeared on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L••Jul 14, 2022 · Control person joined · fact
- Mirghavamaddin Bozorgmir (Chairman) no longer on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L•• (listed 2020-11-20, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- H•••• D•••• G•••• (Senior Vice President And Internal Auditor) no longer on Schedule A of M••••• O• A•••••• C•••••• M••••••••• L•• (listed 2020-06-16, absent 2020-11-20)Nov 20, 2020 · Control person left · inference
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
- Firm profile
- linkedin.com/company/moacapitalmanagementreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- LINKEDIN.COM/company/mutualofamericareportedpublic record, Form ADV, Sep 19, 2026
- Website
- moafunds.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-224-1492reportedpublic record, Form ADV, Mar 31, 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