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••••• C•••••• A••••••• C•••
Latest filing Sep 10, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since May 14, 1999
RAUM
$254M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$254M as of Mar 31, 2026
Mar 30, 2012$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)4 as of Mar 31, 2026
Mar 27, 20135 then
Private funds1 as of Mar 31, 2026
Mar 30, 20121 then
RAUM +27% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 10, 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
- $84.6MderivedRAUM 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
- +27%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 vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $12.1M, 1 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$232M92%
- Pooled investment vehicles$12.1M4.8%
- Other investment advisers$9.4M3.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• C•••••• M••••• F••• L••• | Hedge Fund | $12.2M | 1 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• C••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- S•••••• A••••• V•••••• · Presidentcontrolsince 06/1996 · owns 75% or more
Related persons
Schedule D 7.A
- M••••• V•••••• P••••••• L•pooled vehicle sponsory
Advisers that list M••••• C•••••• A••••••• C••• as a related person
- 160127 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 10, 2026
- Private funds · 1 to unsetMar 31, 2026 to Sep 10, 2026
- Succession · false to unsetMar 31, 2026 to Sep 10, 2026
- Assets in custody · $12.4M to $12.1MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $199M to $254MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12.4M to $12.1MMar 31, 2025 to Mar 31, 2026
- RAUM · $199M to $254MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $12.2M to $12.4MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $218M to $199MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $12.2M to $12.4MMar 28, 2024 to Mar 31, 2025
- RAUM · $218M to $199MMar 28, 2024 to Mar 31, 2025
- Assets in custody · $13.9M to $12.2MApr 17, 2023 to Mar 28, 2024
- Other offices · 1 to 0Apr 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $245M to $218MApr 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $13.9M to $12.2MApr 17, 2023 to Mar 28, 2024
- RAUM · $245M to $218MApr 17, 2023 to Mar 28, 2024
- Assets in custody · unset to 13919288.0Mar 31, 2022 to Mar 31, 2023
- Custody of client assets · false to trueMar 31, 2022 to Mar 31, 2023
- Employees · 5 to 4Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $357M to $245MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $32.9M to $13.9MMar 31, 2022 to Mar 31, 2023
- RAUM · $357M to $245MMar 31, 2022 to Mar 31, 2023
- Related adviser · true to falseMar 31, 2022 to Mar 31, 2023
- Related bank · true to falseMar 31, 2022 to Mar 31, 2023
- Accounts · 2 to 3Aug 6, 2021 to Mar 31, 2022
- Advisory activities · 2 to 3Aug 6, 2021 to Mar 31, 2022
- Pooled vehicle clients · unset to 1.0Aug 6, 2021 to Mar 31, 2022
- Employees · 4 to 5Aug 6, 2021 to Mar 31, 2022
- Private funds · unset to 1Aug 6, 2021 to Mar 31, 2022
- Discretionary RAUM · $220M to $357MAug 6, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · unset to 32874462.0Aug 6, 2021 to Mar 31, 2022
- RAUM · $220M to $357MAug 6, 2021 to Mar 31, 2022
- Related adviser · false to trueJul 15, 2021 to Aug 6, 2021
- Accounts · 3 to 2Feb 8, 2021 to Mar 31, 2021
- Advisory employees · 1 to 4Feb 8, 2021 to Mar 31, 2021
- Employees · 2 to 4Feb 8, 2021 to Mar 31, 2021
- Financial planning clients · 0 to unsetFeb 8, 2021 to Mar 31, 2021
- HQ city · ROCHESTER to KEY LARGOFeb 8, 2021 to Mar 31, 2021
- HQ state · NY to FLFeb 8, 2021 to Mar 31, 2021
Signals
10 dated events
- M••••• C•••••• A••••••• C••• reported RAUM $245.3M, down 31% from $357.2M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- M••••• C•••••• A••••••• C••• reported RAUM $357.2M, up 62% from $219.9M (2021-08-06 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Joseph John Canning (Chief Compliance Officer) no longer on Schedule A of M••••• C•••••• A••••••• C••• (listed 2021-03-31, absent 2021-07-15)Jul 15, 2021 · Control person left · inference
- Curtis Flippen (Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• A••••••• C•••Jul 15, 2021 · Control person joined · fact
- M••••• C•••••• A••••••• C••• reported RAUM $219.9M, down 57% from $508.6M (2021-02-08 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Henry Walter Clark (Chief Compliance Officer) no longer on Schedule A of M••••• C•••••• A••••••• C••• (listed 2020-05-08, absent 2021-02-08)Feb 8, 2021 · Control person left · inference
- Joseph John Canning (Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• A••••••• C•••Feb 8, 2021 · Control person joined · fact
- M••••• C•••••• A••••••• C••• reported RAUM $508.6M, down 29% from $711.4M (2020-01-27 to 2020-02-21)Feb 21, 2020 · RAUM change · derived
- Henry Walter Clark (Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• A••••••• C•••Jan 27, 2020 · Control person joined · fact
- Marie Lisa Tamburini (Chief Compliance Officer) no longer on Schedule A of M••••• C•••••• A••••••• C••• (listed 2019-03-26, absent 2020-01-27)Jan 27, 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
- Website
- M•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-770-1770reportedpublic record, Form ADV, Sep 10, 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