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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••• T•••••• I••••••••• P•••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 120240SEC 801-61092IAPD
Latest filing Mar 20, 2017
First filing on the tape Mar 26, 2012 · 7 filings
RAUM
$298M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$298M as of Mar 20, 2017
Mar 26, 2012$499M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 20, 2017
Mar 26, 20120 then
Employees (5.A)4 as of Mar 20, 2017
Apr 1, 20134 then
Private funds: no history
RAUM -21% over the last fiscal year-13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 2017; every figure names its basis
RAUM per advisor
$99.2MderivedRAUM 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
$99.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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
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
3reported
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
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••••• D••••• C••• · Managing Partnercontrol
      since 03/2002 · owns 50% to 75%
    • T••••••• K••••• A••• · Managing Partner & Chief Compliance Officercontrol
      since 03/2002 · owns 25% to 50%
    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 · 7 to 3
      Mar 24, 2016 to Mar 20, 2017
    • Discretionary RAUM · $375M to $298M
      Mar 24, 2016 to Mar 20, 2017
    • RAUM · $375M to $298M
      Mar 24, 2016 to Mar 20, 2017
    • Accounts · 12 to 7
      Feb 9, 2015 to Mar 24, 2016
    • Discretionary RAUM · $420M to $375M
      Feb 9, 2015 to Mar 24, 2016
    • RAUM · $420M to $375M
      Feb 9, 2015 to Mar 24, 2016
    • Accounts · 13 to 12
      Oct 15, 2014 to Feb 9, 2015
    • Discretionary RAUM · $455M to $420M
      Oct 15, 2014 to Feb 9, 2015
    • RAUM · $455M to $420M
      Oct 15, 2014 to Feb 9, 2015
    • Accounts · 15 to 13
      Apr 1, 2013 to Mar 17, 2014
    • Discretionary RAUM · $427M to $455M
      Apr 1, 2013 to Mar 17, 2014
    • RAUM · $427M to $455M
      Apr 1, 2013 to Mar 17, 2014
    • Advisory employees · unset to 3.0
      Mar 26, 2012 to Apr 1, 2013
    • Advisory activities · 2 to 3
      Mar 26, 2012 to Apr 1, 2013
    • Employees · unset to 4.0
      Mar 26, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 3
      Mar 26, 2012 to Apr 1, 2013
    • Discretionary RAUM · $499M to $427M
      Mar 26, 2012 to Apr 1, 2013
    • RAUM · $499M to $427M
      Mar 26, 2012 to Apr 1, 2013
    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