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••••••••• A•••• M••••••••• L•••••

Former SEC-registered adviserCalabasas, CaliforniaCRD 120735SEC 801-77954IAPD
Latest filing Apr 5, 2019
First filing on the tape Apr 8, 2013 · 21 filings
RAUM
$1.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$950,000 gross assets
History
21 filings and snapshots on the tape
RAUM$1.3M as of Mar 22, 2019
May 15, 2014$70.0M then
HNW client RAUM$1.3M as of Mar 22, 2019
Mar 5, 2018$3.8M then
State-registered IARs (5.B.3)0 as of Mar 22, 2019
May 15, 20142 then
Employees (5.A)0 as of Mar 22, 2019
May 15, 20144 then
Private funds1 as of Mar 22, 2019
May 15, 20141 then
RAUM -74% over the last fiscal year-73% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Apr 5, 2019; 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
$200,000derivedHNW RAUM over HNW clients
Average account
$200,000derivedRAUM 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
-67%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 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
  • 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
  • High-net-worth individuals$1.0M100%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• 2••• P•••••••• L•••Hedge Fund$950,0005Apr 8, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• R•••••• M•••••• · Managing Member/Chief Compliance Officercontrol
        since 09/1999 · 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
      • Discretionary RAUM · $1.3M to $1.0M
        Mar 22, 2019 to Apr 5, 2019
      • HNW RAUM · $1.3M to $1.0M
        Mar 22, 2019 to Apr 5, 2019
      • RAUM · $1.3M to $1.0M
        Mar 22, 2019 to Apr 5, 2019
      • Accounts · 10 to 5
        Jan 14, 2019 to Mar 22, 2019
      • Advisory activities · 2 to 1
        Jan 14, 2019 to Mar 22, 2019
      • HNW clients · 10 to 5
        Jan 14, 2019 to Mar 22, 2019
      • Assets in custody · 4450000.0 to unset
        Jan 14, 2019 to Mar 22, 2019
      • Custody of client assets · true to false
        Jan 14, 2019 to Mar 22, 2019
      • Other offices · 1 to 0
        Jan 14, 2019 to Mar 22, 2019
      • Discretionary RAUM · $3.8M to $1.3M
        Jan 14, 2019 to Mar 22, 2019
      • HNW RAUM · $3.8M to $1.3M
        Jan 14, 2019 to Mar 22, 2019
      • RAUM · $3.8M to $1.3M
        Jan 14, 2019 to Mar 22, 2019
      • Discretionary RAUM · $4.5M to $3.8M
        Dec 11, 2017 to Feb 12, 2018
      • HNW RAUM · $4.5M to $3.8M
        Dec 11, 2017 to Feb 12, 2018
      • RAUM · $4.5M to $3.8M
        Dec 11, 2017 to Feb 12, 2018
      • Accounts · 15 to 10
        Oct 24, 2017 to Dec 11, 2017
      • HNW clients · unset to 10.0
        Oct 23, 2017 to Oct 24, 2017
      • HNW RAUM · unset to 4450000.0
        Oct 23, 2017 to Oct 24, 2017
      • Advisory employees · 1 to 0
        Aug 22, 2017 to Oct 23, 2017
      • BD registered reps · 1 to 0
        Aug 22, 2017 to Oct 23, 2017
      • Employees · 1 to 0
        Aug 22, 2017 to Oct 23, 2017
      • State-registered IARs · 1 to 0
        Aug 22, 2017 to Oct 23, 2017
      • Other offices · unset to 1.0
        Aug 22, 2017 to Oct 23, 2017
      • Accounts · 25 to 15
        Nov 22, 2016 to Mar 31, 2017
      • Advisory employees · 2 to 1
        Nov 22, 2016 to Mar 31, 2017
      • Assets in custody · $1.3M to $4.5M
        Nov 22, 2016 to Mar 31, 2017
      • Employees · 2 to 1
        Nov 22, 2016 to Mar 31, 2017
      • Financial planning clients · unset to 0
        Nov 22, 2016 to Mar 31, 2017
      • State-registered IARs · 2 to 1
        Nov 22, 2016 to Mar 31, 2017
      • Discretionary RAUM · $52.9M to $4.5M
        Nov 22, 2016 to Mar 31, 2017
      • RAUM · $52.9M to $4.5M
        Nov 22, 2016 to Mar 31, 2017
      • Accounts · 40 to 25
        Mar 27, 2015 to Mar 29, 2016
      • Advisory activities · 3 to 2
        Mar 27, 2015 to Mar 29, 2016
      • Assets in custody · $1.5M to $1.3M
        Mar 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $110M to $52.9M
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $110M to $52.9M
        Mar 27, 2015 to Mar 29, 2016
      • Accounts · 25 to 40
        May 22, 2014 to Mar 27, 2015
      • Advisory employees · 4 to 2
        May 22, 2014 to Mar 27, 2015
      • Assets in custody · $2.0M to $1.5M
        May 22, 2014 to Mar 27, 2015
      • Employees · 4 to 2
        May 22, 2014 to Mar 27, 2015
      Signals
      1 dated events
      • M••••••••• A•••• M••••••••• L••••• filed its initial SEC registration (Form ADV)
        Apr 8, 2013 · 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