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••••••• C•••••• C•••••••••

Former SEC-registered adviserOmaha, NebraskaCRD 125181SEC 801-62250IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$588M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$170M gross assets
History
8 filings and snapshots on the tape
RAUM$588M as of Mar 30, 2016
Mar 29, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 29, 20120 then
Employees (5.A)1 as of Mar 30, 2016
Apr 1, 20131 then
Private funds4 as of Mar 30, 2016
Mar 29, 20124 then
RAUM -31% over the last fiscal year-3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$97.9MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-31%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$588M, 6 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$588M for 6 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• P••••••• J••••• · Managing Partnercontrol
        since 01/2012 · owns less than 5%
      • E•••••• R•••••• Y••••• · Managing Partnercontrol
        since 01/2012 · owns less than 5%
      • M•••••••• M••••••• R••••• · Foundercontrol
        since 01/2004 · owns less than 5%
      • S••••••• M•••••••• M•••• · Assistant Secretary & Treasurercontrol
        since 05/2006 · owns less than 5%
      • M•••••• T•••• L••• · Chief Compliance Officer
        since 06/2005 · owns less than 5%
      Entity owners
      • M•• H•••••••• I••• · Parent Corporation
        direct · owns 75% or more
      • M••••••• G••••• L•• · Parent Limited Liability Company
        indirect · owns 75% or more of M•• H•••••••• I•••
      Related persons
      Schedule D 7.A
      • F•••••• G•• L••
        pooled vehicle sponsorn
      • F•••••• I• G•• L••
        pooled vehicle sponsorn
      • M••••••• G••••• L••
        pooled vehicle sponsory
      • M-One Capital
        investment advisernRAUM $3.8B
      • M•• H•••••••• I•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Wellesley, MA
      What changed
      consecutive filings, newest first
      • Assets in custody · $857M to $588M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $857M to $588M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $857M to $588M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $759M to $857M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $759M to $857M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $759M to $857M
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $651M to $759M
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $651M to $759M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $651M to $759M
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 7 to 6
        Oct 23, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Oct 23, 2012 to Apr 1, 2013
      • Assets in custody · $593M to $651M
        Oct 23, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        Oct 23, 2012 to Apr 1, 2013
      • Discretionary RAUM · $593M to $651M
        Oct 23, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $431M to $0
        Oct 23, 2012 to Apr 1, 2013
      • RAUM · $1.0B to $651M
        Oct 23, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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