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••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 19 filings
SEC status approved since Jan 2, 2004
RAUM
$8.3M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$8.3M as of Mar 31, 2026
Mar 27, 2012$273M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 201329 then
Private funds2 as of Mar 31, 2026
Mar 27, 20122 then
RAUM -54% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -54%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
- Custody
- $8.3M, 2 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
- 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)
- 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
- Pooled investment vehicles$8.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.3M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• S••••••••• F•••••••• S••••••••• L• | Private Equity Fund | $21.3M | 86 | Mar 27, 2012 |
| M••• S••••••••• F•••••••• S••••••••• I••••••••• V••••••• L•• | Private Equity Fund | $9.6M | 5 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• G••••• · Directorcontrolsince 08/2022 · owns less than 5%
- F•••••••• S••• H••••• · Chief Financial Officer & Directorcontrolsince 12/2019 · owns less than 5%
- H••••• J••••• R•••• M••••• · Directorcontrolsince 08/2022 · owns less than 5%
- L••• B•••• · Chief Operating Officer, General Counsel, Chief Compliance Officercontrolsince 08/2006 · owns less than 5%
- S•••• M•••••• D•••••• · Chairman, Chief Executive Officer, Directorcontrolsince 04/2002 · owns less than 5%
- L••••• H•••• R•• · Membercontrolsince 04/2002 · owns 50% to 75% of M••• S••• F•••••••• H•••••••• L••
- S•••• M•••••• D•••••• · Membercontrolsince 04/2002 · owns 50% to 75% of M••• S••• F•••••••• H•••••••• L••
- S•••••••• S•••••• A••• · Membercontrolsince 04/2002 · owns 75% or more of W••••••••• C•••••• P•••••••• L••
Entity owners
- M••• S••• F•••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- M•••••••• H••••••• ••••• I••• · Memberdirect · owns 25% to 50%
- M••• S•••• I••• · Managing Memberindirect · owns F of M••• S••• F•••••••• H•••••••• L••
- M•••••••• C•••••••• H••••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• C•••••••• International Holdings Pty Ltd
- M•••••••• C•••••••• I••••••••• H••••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• Group (US) Holdings No.1 Pty L••••••
- M•••••••• E••••••• ••• H•••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• Holdings (USA) Inc.
- M•••••••• F•••••••• H••••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• C•••••••• H••••••• P•• L••••••
- M•••••••• G•••• ••• H••••••• N••• P•• L••• · Ownerindirect · owns 75% or more of M•••••••• E••••••• (US) Holdings Pty L••••••
- M•••••••• G•••• L•••••• · Ownerindirect · owns 75% or more of M•••••••• F•••••••• H••••••• P•• L••••••
- W••••••••• C•••••• P•••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• C•••••• M••••••••• L••investment adviserbankyRAUM $610M
- C••••••• P••••••• L••investment adviserbanknRAUM $211M
- M••• S••• S••••••••• L•••••broker-dealern
- M••• S•••• L••investment adviserbanknRAUM $2.1B
- M•••••••• B••• I••••••••• L••••••investment advisernRAUM $679M
- M•••••••• C•••••• •••• I•••broker-dealern
- M•••••••• C•••••• M•••••• N•••• A•••••• L•••broker-dealern
Advisers that list M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $18.0M to $8.3MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $18.0M to $8.3MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $18.0M to $8.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $18.0M to $8.3MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 1 to 3Jan 14, 2025 to Mar 31, 2025
- BD registered reps · 4 to 3Jan 14, 2025 to Mar 31, 2025
- Assets in custody · $22.0M to $18.0MJan 14, 2025 to Mar 31, 2025
- Employees · 7 to 6Jan 14, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 14, 2025 to Mar 31, 2025
- Discretionary RAUM · $25.0M to $18.0MJan 14, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $25.0M to $18.0MJan 14, 2025 to Mar 31, 2025
- RAUM · $25.0M to $18.0MJan 14, 2025 to Mar 31, 2025
- Advisory employees · 3 to 1Jan 12, 2024 to Mar 28, 2024
- Assets in custody · $52.7M to $22.0MJan 12, 2024 to Mar 28, 2024
- Discretionary RAUM · $52.7M to $25.0MJan 12, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $52.7M to $25.0MJan 12, 2024 to Mar 28, 2024
- RAUM · $52.7M to $25.0MJan 12, 2024 to Mar 28, 2024
- Assets in custody · $73.0M to $52.7MOct 5, 2022 to Mar 30, 2023
- Discretionary RAUM · $49.2M to $52.7MOct 5, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $49.2M to $52.7MOct 5, 2022 to Mar 30, 2023
- RAUM · $49.2M to $52.7MOct 5, 2022 to Mar 30, 2023
- Discretionary RAUM · $73.0M to $49.2MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $73.0M to $49.2MMar 30, 2021 to Mar 31, 2022
- RAUM · $73.0M to $49.2MMar 30, 2021 to Mar 31, 2022
- BD registered reps · 6 to 4Mar 30, 2020 to Mar 30, 2021
- Assets in custody · $75.2M to $73.0MMar 30, 2020 to Mar 30, 2021
- Employees · 9 to 7Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $75.2M to $73.0MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $75.2M to $73.0MMar 30, 2020 to Mar 30, 2021
- RAUM · $75.2M to $73.0MMar 30, 2020 to Mar 30, 2021
- Assets in custody · $93.7M to $75.2MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $68.2M to $75.2MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $68.2M to $75.2MMar 29, 2019 to Mar 30, 2020
- RAUM · $68.2M to $75.2MMar 29, 2019 to Mar 30, 2020
- BD registered reps · 7 to 6Mar 30, 2018 to Mar 29, 2019
- Employees · 14 to 9Mar 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $93.7M to $68.2MMar 30, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $93.7M to $68.2MMar 30, 2018 to Mar 29, 2019
- RAUM · $93.7M to $68.2MMar 30, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 2.0Mar 31, 2017 to Mar 30, 2018
Signals
11 dated events
- Royce Murray James Hooke (Director) appeared on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••Oct 5, 2022 · Control person joined · fact
- Graeme Conway (Director) appeared on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••Oct 5, 2022 · Control person joined · fact
- Jon Stephen Darke (Director) no longer on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• (listed 2022-03-31, absent 2022-10-05)Oct 5, 2022 · Control person left · inference
- See Mun Jenny Chan (Director) no longer on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• (listed 2022-03-31, absent 2022-10-05)Oct 5, 2022 · Control person left · inference
- Raul Narciso (Director) no longer on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• (listed 2022-03-31, absent 2022-10-05)Oct 5, 2022 · Control person left · inference
- Harris Sam Friedman (Chief Financial Officer) appeared on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••Mar 29, 2019 · Control person joined · fact
- See Mun Jenny Chan (Director) appeared on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••Mar 29, 2019 · Control person joined · fact
- Raul Narciso (Director) appeared on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••Mar 29, 2019 · Control person joined · fact
- Matthew Philip Sivin (Chief Financial Officer, Senior Managing Director) no longer on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Bruce Peter Lucas (Director) no longer on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Michael Vitelli (Director) no longer on Schedule A of M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/md-sassreportedpublic record, Form ADV, Sep 18, 2026
- Website
- MDS•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-730-2000reportedpublic record, Form ADV, Mar 31, 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