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•••••••••

Former SEC-registered adviserBirmingham, MichiganCRD 106810SEC 801-48394IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 28, 2012 · 5 filings
RAUM
$14B
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
126
41 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$14B as of Mar 27, 2014
Mar 28, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2014
Mar 28, 20120 then
Employees (5.A)126 as of Mar 27, 2014
Mar 28, 2013127 then
Private funds: 1
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
RAUM per advisor
$7.1BderivedRAUM 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
$14.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
63.0derivedItem 5.A over advisors
Advisors per office
0.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+17%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
997reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    M••••• T••• F•••• L••no longer reportedHedge Fund$113M11Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• M••••••• M•••• · Managing Director, M•••Etingcontrol
      since 01/2013 · owns less than 5%
    • D•••• T•••• Y•• · Vice Chairman & Chief Investment Officercontrol
      since 03/2006 · owns less than 5%
    • F••••••••• J••••• V•••••• · President & Chief Operating Officercontrol
      since 06/2009 · owns less than 5%
    • H••••••• P••••• K••••• · Managing Director, Chief Financial Officer & Treasurercontrol
      since 05/2000 · owns less than 5%
    • O••••• B•••• A••• · Managing Director, Human Resourcescontrol
      since 04/1996 · owns less than 5%
    • S••••••••• S••••••• J•••• · Managing Director, General Counsel, Chief Compliance Officer & Secretarycontrol
      since 07/2000 · owns less than 5%
    • B•••••••• A•••• J••••• · Directorcontrol
      since 06/2011 · owns F of M••••• Capitalholdings, LLC
    • D••••••••• R••••••• M•••••• · Directorcontrol
      since 12/2006 · owns F of M••••• C•••••• H•••••••• L••
    • D•••• T•••• Y•• · Director; Vice Chairman; Class A, Class B Membercontrol
      since 12/2006 · owns F of M••••• C•••••• H•••••••• L••
    • F••••••••• J••••• V•••••• · Director; President; Class A, Class B Membercontrol
      since 01/2010 · owns F of M••••• C•••••• H•••••••• L••
    • H•••••••• J••••• M•••••• · Director; Class A Membercontrol
      since 04/2007 · owns F of M••••• C•••••• H•••••••• L••
    • P•••••• D••• G••••• · Director; Class A Membercontrol
      since 03/2007 · owns F of M••••• C•••••• H•••••••• L••
    • S•••••• M•••• B•••• · Director; Class A Membercontrol
      since 03/2007 · owns F of M••••• C•••••• H•••••••• L••
    Entity owners
    • M••••• C•••••• H••••••• I•• L•• · General Partner
      direct · owns less than 5%
    • M••••• C•••••• H•••••••• L•• · General Partner
      direct · owns 75% or more
    • C•••••••• C•••••• P••••••• • M••••• L•• · Member
      indirect · owns 25% to 50% of M••••• C•••••• H•••••••• L••
    • C•••••••• C•••••• P••••••• • M••••• L•• · Manager; Class A Member
      indirect · owns 50% to 75% of M••••• C•••••• H••••••• I•• L••
    • C•••••••• P•••••••• L••• · Sole Member
      indirect · owns 75% or more of C•••••••• C•••••• P••••••• • M••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list M••••• C•••••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Boston, MA
    • Collegeville, PA
    • Greenwood Village, CO
    • West Chester, PA
    What changed
    consecutive filings, newest first
    • Accounts · 1,058 to 997
      Mar 28, 2013 to Mar 27, 2014
    • Advisory employees · 42 to 41
      Mar 28, 2013 to Mar 27, 2014
    • Employees · 127 to 126
      Mar 28, 2013 to Mar 27, 2014
    • Discretionary RAUM · $12B to $14B
      Mar 28, 2013 to Mar 27, 2014
    • RAUM · $12B to $14B
      Mar 28, 2013 to Mar 27, 2014
    • Accounts · 1,229 to 1,058
      Apr 17, 2012 to Mar 28, 2013
    • Advisory employees · unset to 42.0
      Apr 17, 2012 to Mar 28, 2013
    • BD registered reps · unset to 20.0
      Apr 17, 2012 to Mar 28, 2013
    • Assets in custody · 10850000.0 to unset
      Apr 17, 2012 to Mar 28, 2013
    • Custody of client assets · true to false
      Apr 17, 2012 to Mar 28, 2013
    • Employees · unset to 127.0
      Apr 17, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 2
      Apr 17, 2012 to Mar 28, 2013
    • Private funds · 1 to unset
      Apr 17, 2012 to Mar 28, 2013
    • Discretionary RAUM · $13B to $12B
      Apr 17, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $25.7M to $0
      Apr 17, 2012 to Mar 28, 2013
    • RAUM · $13B to $12B
      Apr 17, 2012 to Mar 28, 2013
    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