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••••••• I••••••• A••••••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 122337SEC 801-72239websiteIAPD
Legal name M••••••• I••••••• A••••••• C•••••••••
Latest filing Feb 27, 2025
First filing on the tape Feb 16, 2012 · 23 filings
SEC status approved since May 3, 2011
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
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
73
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.4B as of Feb 27, 2025
Feb 16, 2012$25.0M then
HNW client RAUM$0 as of Feb 27, 2025
Feb 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 27, 2025
Feb 16, 20120 then
Employees (5.A)73 as of Feb 27, 2025
Jan 16, 201364 then
Private funds: no history
RAUM +61% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 27, 2025; 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
$73.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
2.8%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
+61%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
  • Banks and thrifts$103M73%
  • State and municipal entities$38.5M27%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
19reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      • H•••••• R•••••• N•••••••• · Principalcontrol
        since 11/1989 · owns 50% to 75%
      • V••••••••• P•••• T••••• · Principalcontrol
        since 11/1989 · owns 50% to 75%
      • F•••••••• R••• · Chief Financial Officer
        since 09/2009 · owns less than 5%
      • M••••••••• M••••••• D•••••••• · Chief Compliance Officer
        since 05/2022 · owns less than 5%
      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 · 20 to 19
        Mar 27, 2024 to Feb 27, 2025
      • Advisory employees · 8 to 7
        Mar 27, 2024 to Feb 27, 2025
      • Employees · 75 to 73
        Mar 27, 2024 to Feb 27, 2025
      • Financial planning clients · unset to
        Mar 27, 2024 to Feb 27, 2025
      • Non-discretionary RAUM · $864M to $1.4B
        Mar 27, 2024 to Feb 27, 2025
      • RAUM · $864M to $1.4B
        Mar 27, 2024 to Feb 27, 2025
      • Accounts · 35 to 20
        Oct 20, 2023 to Mar 27, 2024
      • Employees · 100 to 75
        Oct 20, 2023 to Mar 27, 2024
      • Non-discretionary RAUM · $1.2B to $864M
        Oct 20, 2023 to Mar 27, 2024
      • RAUM · $1.2B to $864M
        Oct 20, 2023 to Mar 27, 2024
      • Accounts · 41 to 35
        Jul 25, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $5.1B to $1.2B
        Jul 25, 2022 to Mar 30, 2023
      • RAUM · $5.1B to $1.2B
        Jul 25, 2022 to Mar 30, 2023
      • Accounts · 47 to 41
        Feb 22, 2022 to Mar 31, 2022
      • Non-discretionary RAUM · $9.3B to $5.1B
        Feb 22, 2022 to Mar 31, 2022
      • RAUM · $9.3B to $5.1B
        Feb 22, 2022 to Mar 31, 2022
      • Financial planning clients · 26-50 to unset
        Mar 25, 2021 to Feb 22, 2022
      • Accounts · 37 to 47
        Mar 11, 2020 to Mar 25, 2021
      • Employees · 90 to 100
        Mar 11, 2020 to Mar 25, 2021
      • Financial planning clients · 0 to 26-50
        Mar 11, 2020 to Mar 25, 2021
      • Non-discretionary RAUM · $3.2B to $9.3B
        Mar 11, 2020 to Mar 25, 2021
      • RAUM · $3.2B to $9.3B
        Mar 11, 2020 to Mar 25, 2021
      • Accounts · 50 to 37
        Mar 28, 2019 to Mar 11, 2020
      • Other offices · 1 to 0
        Mar 28, 2019 to Mar 11, 2020
      • Non-discretionary RAUM · $2.6B to $3.2B
        Mar 28, 2019 to Mar 11, 2020
      • RAUM · $2.6B to $3.2B
        Mar 28, 2019 to Mar 11, 2020
      • Accounts · 56 to 54
        Feb 28, 2018 to Mar 28, 2019
      • Advisory employees · 16 to 8
        Feb 28, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $2.7B to $2.6B
        Feb 28, 2018 to Mar 28, 2019
      • RAUM · $2.7B to $2.6B
        Feb 28, 2018 to Mar 28, 2019
      • Accounts · 54 to 50
        Mar 28, 2019 to Mar 28, 2019
      • Accounts · 84 to 56
        Feb 9, 2017 to Feb 28, 2018
      • Charity clients · unset to 0.0
        Feb 9, 2017 to Feb 28, 2018
      • Corporate clients · unset to 0.0
        Feb 9, 2017 to Feb 28, 2018
      • HNW clients · unset to 0.0
        Feb 9, 2017 to Feb 28, 2018
      • Individual clients · unset to 0.0
        Feb 9, 2017 to Feb 28, 2018
      • Pension plan clients · unset to 0.0
        Feb 9, 2017 to Feb 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 9, 2017 to Feb 28, 2018
      • Employees · 80 to 90
        Feb 9, 2017 to Feb 28, 2018
      • Other offices · unset to 1.0
        Feb 9, 2017 to Feb 28, 2018
      Signals
      7 dated events
      • M••••••• I••••••• A••••••• C•••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.4B)
        Dec 20, 2025 · Left the SEC roster · derived
      • M••••••• I••••••• A••••••• C•••••• reported RAUM $1.4B, up 61% from $863.6M (2024-03-27 to 2025-02-27)
        Feb 27, 2025 · RAUM change · derived
      • M••••••• I••••••• A••••••• C•••••• reported RAUM $863.6M, down 28% from $1.2B (2023-10-20 to 2024-03-27)
        Mar 27, 2024 · RAUM change · derived
      • M••••••• I••••••• A••••••• C•••••• reported RAUM $1.2B, down 77% from $5.1B (2022-07-25 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • M••••••• I••••••• A••••••• C•••••• reported RAUM $5.1B, down 45% from $9.3B (2022-02-22 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • M••••••• I••••••• A••••••• C•••••• reported RAUM $9.3B, up 189% from $3.2B (2020-03-11 to 2021-03-25)
        Mar 25, 2021 · RAUM change · derived
      • M••••••• I••••••• A••••••• C•••••• reported RAUM $2.7B, down 78% from $12.4B (2017-02-09 to 2018-02-28)
        Feb 28, 2018 · RAUM change · derived
      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