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••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 111151SEC 801-60089IAPD
Latest filing Jan 15, 2021
First filing on the tape Mar 9, 2012 · 20 filings
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$156M as of Jan 15, 2021
Mar 9, 2012$114M then
HNW client RAUM$141M as of Jan 15, 2021
Jan 31, 2018$66.0M then
State-registered IARs (5.B.3)0 as of Jan 15, 2021
Mar 9, 20120 then
Employees (5.A)4 as of Jan 15, 2021
Mar 6, 20131 then
Private funds: no history
RAUM -16% over the last fiscal year-6.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 15, 2021; 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
$2.8MderivedHNW RAUM over HNW clients
Average account
$2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.6%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
-16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-1.9%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • High-net-worth individuals$141M90%
  • Pension and profit-sharing plans$15.0M9.6%
  • Individuals$375,6020.2%
Individual clients
2reported
HNW clients
50reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
56reported
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
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••••• M•••• A• · Managing Director, President,Chief Compliance Officer, Secretary, And Treasurer/Sole Shareholdercontrol
      since 03/2001 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 58 to 56
      Nov 5, 2020 to Jan 15, 2021
    • HNW clients · 51 to 50
      Nov 5, 2020 to Jan 15, 2021
    • Pension plan clients · 5.0 to unset
      Nov 5, 2020 to Jan 15, 2021
    • Employees · 5 to 4
      Nov 5, 2020 to Jan 15, 2021
    • Discretionary RAUM · $186M to $156M
      Nov 5, 2020 to Jan 15, 2021
    • HNW RAUM · $122M to $141M
      Nov 5, 2020 to Jan 15, 2021
    • Individual RAUM · $284,858 to $375,602
      Nov 5, 2020 to Jan 15, 2021
    • Pension RAUM · $63.5M to $15.0M
      Nov 5, 2020 to Jan 15, 2021
    • RAUM · $186M to $156M
      Nov 5, 2020 to Jan 15, 2021
    • Accounts · 59 to 58
      Jan 30, 2019 to Feb 11, 2020
    • HNW clients · 2 to 51
      Jan 30, 2019 to Feb 11, 2020
    • Discretionary RAUM · $159M to $186M
      Jan 30, 2019 to Feb 11, 2020
    • HNW RAUM · $106M to $122M
      Jan 30, 2019 to Feb 11, 2020
    • Individual RAUM · $229,341 to $284,858
      Jan 30, 2019 to Feb 11, 2020
    • Pension RAUM · $53.4M to $63.5M
      Jan 30, 2019 to Feb 11, 2020
    • RAUM · $159M to $186M
      Jan 30, 2019 to Feb 11, 2020
    • Accounts · 61 to 59
      Jan 31, 2018 to Jan 30, 2019
    • HNW clients · 59 to 2
      Jan 31, 2018 to Jan 30, 2019
    • Individual clients · unset to 2.0
      Jan 31, 2018 to Jan 30, 2019
    • Discretionary RAUM · $191M to $159M
      Jan 31, 2018 to Jan 30, 2019
    • HNW RAUM · $66.0M to $106M
      Jan 31, 2018 to Jan 30, 2019
    • Individual RAUM · $259,873 to $229,341
      Jan 31, 2018 to Jan 30, 2019
    • Pension RAUM · $125M to $53.4M
      Jan 31, 2018 to Jan 30, 2019
    • RAUM · $191M to $159M
      Jan 31, 2018 to Jan 30, 2019
    • Accounts · 64 to 61
      Jan 30, 2017 to Jan 31, 2018
    • Advisory employees · 3 to 4
      Jan 30, 2017 to Jan 31, 2018
    • HNW clients · unset to 59.0
      Jan 30, 2017 to Jan 31, 2018
    • Pension plan clients · unset to 5.0
      Jan 30, 2017 to Jan 31, 2018
    • Employees · 4 to 5
      Jan 30, 2017 to Jan 31, 2018
    • Other offices · unset to 0.0
      Jan 30, 2017 to Jan 31, 2018
    • Discretionary RAUM · $165M to $191M
      Jan 30, 2017 to Jan 31, 2018
    • HNW RAUM · unset to 66013111.0
      Jan 30, 2017 to Jan 31, 2018
    • Individual RAUM · unset to 259873.0
      Jan 30, 2017 to Jan 31, 2018
    • Pension RAUM · unset to 125010216.0
      Jan 30, 2017 to Jan 31, 2018
    • RAUM · $165M to $191M
      Jan 30, 2017 to Jan 31, 2018
    • Discretionary RAUM · $162M to $165M
      Jan 29, 2016 to Jan 18, 2017
    • RAUM · $162M to $165M
      Jan 29, 2016 to Jan 18, 2017
    • Accounts · 62 to 64
      Jan 28, 2015 to Jan 29, 2016
    • Discretionary RAUM · $185M to $162M
      Jan 28, 2015 to Jan 29, 2016
    • RAUM · $185M to $162M
      Jan 28, 2015 to Jan 29, 2016
    Signals
    2 dated events
    • M••• A• G•••••••• left M•• C••••••• I••• for F•••• M•••••••• C•• L•• (registered 2023-02-16)
      Feb 1, 2022 · Advisor changed firm · fact
    • M•• C••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jul 15, 2013 · Succession (Item 4) · fact
    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