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••• R••• E••••• S•••••• S••••••••• I• M•••••• L••
Latest filing May 6, 2015
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$103M
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
172
170 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$103M gross assets
History
6 filings and snapshots on the tape
RAUM$103M as of Mar 27, 2015
Mar 30, 2012$24.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 30, 20120 then
Employees (5.A)172 as of Mar 27, 2015
Mar 28, 2013245 then
Private funds1 as of Mar 27, 2015
Mar 30, 20126 then
RAUM +78% over the last fiscal year+63% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 2015; 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
- $103MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +78%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 pooled vehiclesreportedItem 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)
- 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
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
- 1reported
- Financial planning clients
- n/areported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• I• C••••••••• P••••••••• | Real Estate Fund | $103M | 1 | Jul 5, 2012 |
| M••••• S•••••• E••••••• R••• E••••• S•••••• S••••••••• F••• I•••• C•••no longer reported | Real Estate Fund | $432,807 | 3 | Mar 30, 2012 |
| M••••• S•••••• E••••••• R••• E••••• S•••••• S••••••••• F••• I•• L•••no longer reported | Real Estate Fund | $426,493 | 2 | Mar 30, 2012 |
| M••••• S•••••• E••••••• R••• E••••• S•••••• S••••••••• F••• I•••• C•••no longer reported | Real Estate Fund | $407,736 | 3 | Mar 30, 2012 |
| M••••• S•••••• E••••••• R••• E••••• S•••••• S••••••••• F••• I•••• C•••no longer reported | Real Estate Fund | $406,379 | 3 | Mar 30, 2012 |
| M••••• S•••••• E••••••• R••• E••••• S•••••• S••••••••• F••• I•••• L•••no longer reported | Real Estate Fund | $110,265 | 14 | Mar 30, 2012 |
| M••••• S•••••• E••••••• R••• E••••• S•••••• S••••••••• F••• I• • P•••••• I••••••••• L•••no longer reported | Real Estate Fund | $0 | 14 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D• P••••••••• O•••••• · Co Cio And Co Ceo Of M••••• S•••••• R••• E••••• Investingcontrolsince 09/2010 · owns less than 5%
- F••••••• G••••••• J• · President Of M••••• S•••••• Investment Management And M••••• S•••••• Wealth Managementcontrolsince 07/2010 · owns less than 5%
- H••••• M•••••• · Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
- K••••• J••• · Director Of M••• R••• E••••• S•••••• S••••••••• I•• I••• And Co Cio And Co Ceo Of M••••• S•••••• R••• E••••• Investingcontrolsince 09/2010 · owns less than 5%
- M•••••••• E•••••• N• · Head Of M••••••• B•••••• And R••• E••••• Investingcontrolsince 02/2010 · owns less than 5%
- B•••• J•••• P••••• · Director Of M••• R••• E••••• S•••••• S••••••••• I•• I•••since 10/2011 · owns less than 5%
- C••••• M••••••• W•••••• · Chief Legal Officersince 10/2014 · owns less than 5%
- H•••••• P••••• C••••• · Chief Financial Officer Of M••••• S•••••• R••• E••••• Investing And Director Of M••• R••• E••••• S•••••• S••••••••• I•• I•••since 03/2014 · owns less than 5%
- M•••••• C••••••••• B• · Director Of M••• R••• E••••• S•••••• S••••••••• I•• I•••since 03/2013 · owns less than 5%
- P•••• C••••••• · Chief Operating Officer Of M••••• S•••••• R••• E••••• Investingsince 03/2014 · owns less than 5%
Entity owners
- M••• R••• E••••• S•••••• S••••••••• I•• I••• · Managing Memberdirect · owns 75% or more
- M••••• S•••••• · Shareholderindirect · owns 75% or more of M••• R••• E••••• S•••••• S••••••••• I•• I••• · public reporting company
Related persons
Schedule D 7.A
- C••••••••• G•••• A••••••• S••••••• L••investment advisernRAUM $9.8B
- E•• M••••••• L••pooled vehicle sponsorn
- M••••• S•••••• ••••••• S••broker-dealerinvestment advisern
- M••••• S•••••• • C• I••••••••• P••broker-dealerinvestment advisern
- M••••• S•••••• • C•• L••broker-dealertrust companyCPO or CTAn
- M••••• S•••••• A•• G• L•investment adviserbanknRAUM $41B
- M••••• S•••••• A••• ••••••••• P••broker-dealerinvestment advisern
- M••••• S•••••• A••• L••••••broker-dealerinvestment advisern
- M••••• S•••••• A•••• M••••••••• P•••••• L••••••investment advisern
- M••••• S•••••• A•••••••• L••••••investment advisern
- M••••• S•••••• B••• A•investment advisern
- M••••• S•••••• B••• I••••••••• L••••••broker-dealerinvestment advisern
- M••••• S•••••• B••••••• C••••••••• ••••••••• L••••••investment advisern
- M••••• S•••••• C•••••• J•••• K•••investment advisern
- M••••• S•••••• C•••••• P••••••• I•• I••pooled vehicle sponsorn
- M••••• S•••••• C•••••• P••••••• V• C••••• L•••pooled vehicle sponsorn
- M••••• S•••••• D••••••••• I•••broker-dealern
- M••••• S•••••• I•••• F•••••••• S••••••• P•••••• L••••••investment advisern
- M••••• S•••••• I••••••••• G• L•bankpooled vehicle sponsorn
- M••••• S•••••• I••••••••• I• G• L•bankpooled vehicle sponsorn
- M••••• S•••••• I••••••••• I•••investment adviserbanknRAUM $16B
- M••••• S•••••• I••••••••• S••• L•••••pooled vehicle sponsorn
- M••••• S•••••• I••••••••• M••••••••• C••••••investment advisernRAUM $11B
- M••••• S•••••• I••••••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $702B
- M••••• S•••••• I••••••••• M••••••••• L••••••investment advisernRAUM $175B
- M••••• S•••••• L•••••••• E••••• F••• I• I••pooled vehicle sponsorn
- M••••• S•••••• M••••••• B•••••• I•••••••• C••••••real estaten
- M••••• S•••••• P•••••• E••••• A••• I•• H••••••• ••••••• L•••pooled vehicle sponsorn
- M••••• S•••••• P•••••• E••••• A••• I••• I•••bankpooled vehicle sponsorn
- M••••• S•••••• P•••••• E••••• A••• I••• L•••••bankpooled vehicle sponsorn
Advisers that list M••• R••• E••••• S•••••• S••••••••• I• M•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Hong Kong, Hong Kong
- London, United Kingdom
- San Francisco, CA
- S•••••••, China
- Tokyo, Japan
What changed
consecutive filings, newest first
- Advisory employees · 176 to 170Mar 28, 2014 to Mar 27, 2015
- BD registered reps · 52 to 45Mar 28, 2014 to Mar 27, 2015
- Employees · 215 to 172Mar 28, 2014 to Mar 27, 2015
- Discretionary RAUM · $58.0M to $103MMar 28, 2014 to Mar 27, 2015
- RAUM · $58.0M to $103MMar 28, 2014 to Mar 27, 2015
- Accounts · 7 to 1Mar 28, 2013 to Mar 28, 2014
- Advisory employees · 212 to 176Mar 28, 2013 to Mar 28, 2014
- BD registered reps · 51 to 52Mar 28, 2013 to Mar 28, 2014
- Employees · 245 to 215Mar 28, 2013 to Mar 28, 2014
- Private funds · 6 to 1Mar 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $43.2M to $58.0MMar 28, 2013 to Mar 28, 2014
- RAUM · $43.2M to $58.0MMar 28, 2013 to Mar 28, 2014
- Accounts · 6 to 7Jul 5, 2012 to Mar 28, 2013
- Advisory employees · unset to 212.0Jul 5, 2012 to Mar 28, 2013
- BD registered reps · unset to 51.0Jul 5, 2012 to Mar 28, 2013
- Employees · unset to 245.0Jul 5, 2012 to Mar 28, 2013
- Discretionary RAUM · $43.8M to $43.2MJul 5, 2012 to Mar 28, 2013
- RAUM · $43.8M to $43.2MJul 5, 2012 to Mar 28, 2013
- Accounts · 1 to 6Mar 30, 2012 to Jul 5, 2012
- Discretionary RAUM · $24.0M to $43.8MMar 30, 2012 to Jul 5, 2012
- RAUM · $24.0M to $43.8MMar 30, 2012 to Jul 5, 2012
- Related bank · false to trueMar 30, 2012 to Jul 5, 2012
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
Across the graphs
M••• R••• E••••• S•••••• S••••••••• I• M•••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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