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•••••• S••••••••• L••

Former SEC-registered adviserCRD 114323SEC 801-109018IAPD
Latest filing Apr 12, 2018
First filing on the tape Jan 20, 2017 · 9 filings
RAUM
$82.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.5%
$4.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$82.2M as of Apr 12, 2018
Jan 20, 2017$0 then
HNW client RAUM$2.0M as of Apr 12, 2018
Apr 4, 2018$2.0M then
State-registered IARs (5.B.3)1 as of Apr 12, 2018
Jan 20, 20171 then
Employees (5.A)1 as of Apr 12, 2018
Jan 20, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 12, 2018; every figure names its basis
RAUM per advisor
$82.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$395,776derivedHNW RAUM over HNW clients
Average account
$4.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisersreportedItem 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
  • Investment companies$77.7M95%
  • Individuals$2.5M3.0%
  • High-net-worth individuals$2.0M2.4%
Individual clients
11reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• J•••• F•••••• · President - Ccocontrol
      since 09/1999 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1 to 17
      Mar 30, 2018 to Apr 4, 2018
    • Discretionary RAUM · $77.7M to $82.2M
      Mar 30, 2018 to Apr 4, 2018
    • RAUM · $77.7M to $82.2M
      Mar 30, 2018 to Apr 4, 2018
    • HNW clients · unset to 5.0
      Apr 4, 2018 to Apr 4, 2018
    • Individual clients · unset to 11.0
      Apr 4, 2018 to Apr 4, 2018
    • HNW RAUM · unset to 1978882.0
      Apr 4, 2018 to Apr 4, 2018
    • Individual RAUM · unset to 2503676.0
      Apr 4, 2018 to Apr 4, 2018
    • Accounts · 0 to 1
      Jan 17, 2018 to Mar 30, 2018
    • Discretionary RAUM · $0 to $77.7M
      Jan 17, 2018 to Mar 30, 2018
    • RAUM · $0 to $77.7M
      Jan 17, 2018 to Mar 30, 2018
    • Other offices · unset to 0.0
      Jun 6, 2017 to Jan 17, 2018
    Signals
    1 dated events
    • M•••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 20, 2017 · First SEC registration · 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