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••• N•• Y••• C•••••••••

Former SEC-registered adviserNew Y•••, New YorkCRD 112020SEC 801-57723IAPD
Latest filing Jun 2, 2014
First filing on the tape Dec 7, 2011 · 9 filings
RAUM
$43B
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
50
29 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$43B as of Mar 24, 2014
Mar 29, 2012$48B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2014
Mar 29, 20120 then
Employees (5.A)50 as of Mar 24, 2014
Mar 27, 201350 then
Private funds: no history
RAUM -12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 2014; 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
0.0%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
-12%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
107reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• T••••• · Vice President, Chief Risk Officercontrol
        since 03/2007 · owns less than 5%
      • C•••••••• K••••• H•••••• · Vice Presidentcontrol
        since 05/2005 · owns less than 5%
      • I•••••• L•••• A•• · Chief Operating Officercontrol
        since 08/2013 · owns less than 5%
      • K••••• T•••••• H••• · Directorcontrol
        since 10/2003 · owns less than 5%
      • L•••• M•••••• S••••• · Directorcontrol
        since 09/2011 · owns less than 5%
      • N••• S•••••• M••• M•••••• · President, Ceo And Directorcontrol
        since 01/2001 · owns less than 5%
      • P•••••••• J••••••••• K•••• · Chief Compliance Officercontrol
        since 12/2011 · owns less than 5%
      • W••••••••• F•••• · Directorcontrol
        since 05/2014 · owns less than 5%
      • Y••• D••••• W••••••• · Head Of Portfolio Managementcontrol
        since 05/2014 · owns less than 5%
      Entity owners
      • M••••••••• H•••••• C•••••• · Sole Shareholder
        direct · owns 75% or more
      • M••••• R• · Indirect Subsidiary Of M••••• R•
        indirect · owns F of M••••••••• Holding Corporation
      Related persons
      Schedule D 7.A
      • M••• H••• K••• L••••••
        investment advisery
      • M••• M••••• E••• A•••• M••••••••• G•••
        investment advisern
      • M••• M••••• E••• K••••••••• M••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 119 to 107
        Jan 21, 2014 to Mar 24, 2014
      • Advisory employees · 22 to 29
        Jan 21, 2014 to Mar 24, 2014
      • Discretionary RAUM · $44B to $43B
        Jan 21, 2014 to Mar 24, 2014
      • RAUM · $44B to $43B
        Jan 21, 2014 to Mar 24, 2014
      • Discretionary RAUM · $49B to $44B
        Mar 27, 2013 to Jan 21, 2014
      • RAUM · $49B to $44B
        Mar 27, 2013 to Jan 21, 2014
      • Accounts · 120 to 119
        Oct 12, 2012 to Mar 27, 2013
      • Advisory employees · unset to 22.0
        Oct 12, 2012 to Mar 27, 2013
      • Employees · unset to 50.0
        Oct 12, 2012 to Mar 27, 2013
      • Discretionary RAUM · $48B to $49B
        Oct 12, 2012 to Mar 27, 2013
      • RAUM · $48B to $49B
        Oct 12, 2012 to Mar 27, 2013
      • Accounts · 115 to 120
        Apr 17, 2012 to Aug 3, 2012
      • Discretionary RAUM · $48B to $48B
        Apr 17, 2012 to Aug 3, 2012
      • RAUM · $48B to $48B
        Apr 17, 2012 to Aug 3, 2012
      • Accounts · 105 to 115
        Dec 7, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 7, 2011 to Mar 29, 2012
      • Discretionary RAUM · $44B to $48B
        Dec 7, 2011 to Mar 29, 2012
      • RAUM · $44B to $48B
        Dec 7, 2011 to Mar 29, 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