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•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 125669SEC 801-63090IAPD
Latest filing Mar 25, 2019
First filing on the tape Mar 23, 2012 · 15 filings
RAUM
$168M
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
0
beyond the principal office
Private funds
4
$168M gross assets
History
15 filings and snapshots on the tape
RAUM$168M as of Mar 25, 2019
Mar 23, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2019
Mar 23, 20120 then
Employees (5.A)1 as of Mar 25, 2019
Mar 28, 201316 then
Private funds4 as of Mar 25, 2019
Mar 23, 20126 then
RAUM -23% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
unknownderivedHNW RAUM over HNW clients
Average account
$16.8MderivedRAUM 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
-23%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
$168M, 4 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$168M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$168M for 4 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••• P• F•••• L•••no longer reportedHedge Fund$51.7M2Mar 23, 2012
      M••• A• F•••• L•••no longer reportedHedge Fund$50.0M2Mar 23, 2012
      M••• A•••••• M••••• F•••• L•••Hedge Fund$14.8M15Mar 28, 2014
      M••• D••••••••• O••••••••• I• L•••no longer reportedPrivate Equity Fund$10.9M8Mar 23, 2012
      M••• A•••••• F•••• L•••Hedge Fund$7.9M3Mar 28, 2021
      M••• S••••• O••••••••• M••••• F•••• L•••Hedge Fund$4.6M8Mar 23, 2012
      M••• O• I• M••••• F••• L•••Hedge Fund$3.8M28Mar 23, 2012
      M••• C••••• O••••••••• I• M••••• F••• L••••••Hedge Fund$809,22418Mar 23, 2012
      M••• S••••• O••••••••• L•••Hedge Fund$317,7523Mar 28, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• D••••• J••••• · Managing Member Of M••• C•••••• M••••••••• I• H•••••••• L••control
        since 08/2012 · owns 75% or more
      Entity owners
      • N• A••••••••• G• H••••••• L•• · Managing Member
        indirect · owns 75% or more of N• D••• G• H••••••• L••
      • N• A••••••••• H••••••• L•• · Managing Member
        indirect · owns 75% or more of N• A••••••••• G• H••••••• L••
      • N• D••• A••••••••• L• · General Partner
        indirect · owns F of D••• C•••••• P••••••• •• L• And D••• Capital Partners (B) LP
      • N• D••• G• H••••••• L•• · General Partner
        indirect · owns F of N• D••• A••••••••• L•
      • N•••••••• B••••• G•••• L•• · Managing Member
        indirect · owns 75% or more of N• A••••••••• H••••••• L••
      • D••• C•••••• P••••••• •• L• · Member Of M••• Capital Management, LLC
        direct · owns 10% to 25%
      • D••• E••••• H••••••• L•••••• · Member Of M••• C•••••• M••••••••• I• H•••••••• L••
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • M••• A•••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • M••• C•••••• M••••••••• I• H•••••••• L••
        investment adviserpooled vehicle sponsorn
      • M••• S••••• O••••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 10
        Mar 28, 2018 to Mar 25, 2019
      • Pooled vehicle clients · 12 to 10
        Mar 28, 2018 to Mar 25, 2019
      • Assets in custody · $219M to $168M
        Mar 28, 2018 to Mar 25, 2019
      • Employees · 2 to 1
        Mar 28, 2018 to Mar 25, 2019
      • Private funds · 5 to 4
        Mar 28, 2018 to Mar 25, 2019
      • Discretionary RAUM · $219M to $168M
        Mar 28, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $219M to $168M
        Mar 28, 2018 to Mar 25, 2019
      • RAUM · $219M to $168M
        Mar 28, 2018 to Mar 25, 2019
      • Accounts · 10 to 12
        Nov 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · 10 to 12
        Nov 30, 2017 to Mar 28, 2018
      • Assets in custody · $429M to $219M
        Nov 30, 2017 to Mar 28, 2018
      • Private funds · 4 to 5
        Nov 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $429M to $219M
        Nov 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · $429M to $219M
        Nov 30, 2017 to Mar 28, 2018
      • RAUM · $429M to $219M
        Nov 30, 2017 to Mar 28, 2018
      • Employees · 3 to 2
        Sep 29, 2017 to Nov 30, 2017
      • Accounts · 13 to 10
        Sep 29, 2017 to Nov 30, 2017
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Nov 30, 2017
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Nov 30, 2017
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Nov 30, 2017
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Nov 30, 2017
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Nov 30, 2017
      • Pooled vehicle clients · unset to 10.0
        Sep 29, 2017 to Nov 30, 2017
      • Assets in custody · $454M to $429M
        Sep 29, 2017 to Nov 30, 2017
      • Other offices · unset to 0.0
        Sep 29, 2017 to Nov 30, 2017
      • Discretionary RAUM · $471M to $429M
        Sep 29, 2017 to Nov 30, 2017
      • Pooled vehicle RAUM · unset to 428595965.0
        Sep 29, 2017 to Nov 30, 2017
      • RAUM · $471M to $429M
        Sep 29, 2017 to Nov 30, 2017
      • Advisory employees · 8 to 1
        Mar 30, 2017 to Sep 29, 2017
      • Assets in custody · $768M to $454M
        Mar 30, 2017 to Sep 29, 2017
      • Employees · 13 to 3
        Mar 30, 2017 to Sep 29, 2017
      • Discretionary RAUM · $785M to $471M
        Mar 30, 2017 to Sep 29, 2017
      • RAUM · $785M to $471M
        Mar 30, 2017 to Sep 29, 2017
      • Accounts · 16 to 13
        Nov 17, 2016 to Mar 30, 2017
      • Advisory employees · 10 to 8
        Nov 17, 2016 to Mar 30, 2017
      • Advisory activities · 2 to 1
        Nov 17, 2016 to Mar 30, 2017
      • Assets in custody · $172M to $768M
        Nov 17, 2016 to Mar 30, 2017
      • Employees · 14 to 13
        Nov 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.1B to $785M
        Nov 17, 2016 to Mar 30, 2017
      • RAUM · $1.1B to $785M
        Nov 17, 2016 to Mar 30, 2017
      Signals
      1 dated events
      • M••• C•••••• M••••••••• L•• reported RAUM $219.1M, down 49% from $428.6M (2017-11-30 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      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