DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

M•••• C••••••• L•

Former SEC-registered adviserFormer SEC adviser· Broomfield, Colorado

Former SEC-registered adviser, based in Broomfield, Colorado, reporting $2.1B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$2.1B
Form ADV
RAUM change, 1 year
+8.4%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2024, RAUM $1.96B to $2.13B (+8.4%) on the Form ADV filed 27 Mar 2024, while advisors on the filing held at 1 and offices fell 1 to 0.

Every filed figure, and the identifiersCRD 126668 · SEC 801-73774 · 24 filingsShow
CRD 126668SEC 801-73774First filing on the tape Feb 14, 2012, latest Mar 27, 2024IAPD
RAUM
$2.1B
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
Not computed
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape

RAUM +1.8% a year over three years · the tape starts Feb 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$2.1B as of Mar 27, 2024
Apr 3, 2013$1.4B then
HNW client RAUM$98.9M as of Mar 25, 2020
Mar 30, 2018$93.0M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Apr 3, 20131 then
Employees (5.A)9 as of Mar 27, 2024
Apr 3, 20131 then
Private funds: no history
RAUM +8.4% over the last fiscal year+1.8% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$2.1BderivedRAUM 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
$425MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

93% corporations and businesses, 7.4% charitable organizations

The breakdown by client type, and the client counts2 client typesShow
  • Corporations and businesses$1.9B93%
  • Charitable organizations$148M7.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• A••••••• F• · Partner / Chief Compliance Officer / Cfo / Coocontrol
        since 01/2020 · owns 10% to 25%
      • R••••• K••••• L•• · Managing Director / Partnercontrol
        since 01/2020 · owns 25% to 50%
      • S••••• S••••• R•••••• · Partner/Chief Investment Officercontrol
        since 01/2024 · owns 25% to 50%
      • H•••••• A••••••• F• · Member, Member Of Board Of Managers, Cfo, Ccocontrol
        since 01/2024 · owns 25% to 50% of M•••• C•••••• G•• L••
      • R••••• K••••• L•• · Member, Member Of Board Of Managerscontrol
        since 01/2024 · owns 25% to 50% of M•••• C•••••• G•• L••
      All 6 control persons
      • S••••• S••••• R•••••• · Member, Member Of Board Of Managerscontrol
        since 01/2024 · owns 25% to 50% of M•••• C•••••• G•• L••
      Entity owners
      • M•••• C•••••• G•• L•• · General Partner
        direct · owns less than 5%
      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
      • Advisory employees · 4 to 2
        Jan 23, 2024 to Mar 27, 2024
      • Employees · 8 to 9
        Jan 23, 2024 to Mar 27, 2024
      • Discretionary RAUM · $2.0B to $2.1B
        Jan 23, 2024 to Mar 27, 2024
      • RAUM · $2.0B to $2.1B
        Jan 23, 2024 to Mar 27, 2024
      • Advisory employees · 3 to 4
        Mar 21, 2023 to Aug 8, 2023
      Full history · 64 changes
      • Employees · 9 to 8
        Mar 21, 2023 to Aug 8, 2023
      • HQ city · BOULDER to BROOMFIELD
        Mar 21, 2023 to Aug 8, 2023
      • Other offices · 1 to 0
        Mar 21, 2023 to Aug 8, 2023
      • Accounts · 4 to 5
        Nov 1, 2022 to Mar 21, 2023
      • Advisory employees · 4 to 3
        Nov 1, 2022 to Mar 21, 2023
      • Employees · 12 to 9
        Nov 1, 2022 to Mar 21, 2023
      • State-registered IARs · 2 to 1
        Nov 1, 2022 to Mar 21, 2023
      • Discretionary RAUM · $2.5B to $2.0B
        Nov 1, 2022 to Mar 21, 2023
      • RAUM · $2.5B to $2.0B
        Nov 1, 2022 to Mar 21, 2023
      • Employees · 8 to 12
        Apr 20, 2021 to Mar 25, 2022
      • Discretionary RAUM · $2.0B to $2.5B
        Apr 20, 2021 to Mar 25, 2022
      • RAUM · $2.0B to $2.5B
        Apr 20, 2021 to Mar 25, 2022
      • Advisory activities · 2 to 1
        Oct 27, 2020 to Mar 24, 2021
      • Employees · 7 to 8
        Oct 27, 2020 to Mar 24, 2021
      • Financial planning clients · 0 to unset
        Oct 27, 2020 to Mar 24, 2021
      • Discretionary RAUM · $1.8B to $2.0B
        Oct 27, 2020 to Mar 24, 2021
      • RAUM · $1.8B to $2.0B
        Oct 27, 2020 to Mar 24, 2021
      • HNW RAUM · 98945613.0 to unset
        Mar 25, 2020 to Oct 27, 2020
      • Discretionary RAUM · $1.6B to $1.8B
        Aug 15, 2019 to Mar 25, 2020
      • HNW RAUM · $88.9M to $98.9M
        Aug 15, 2019 to Mar 25, 2020
      • RAUM · $1.6B to $1.8B
        Aug 15, 2019 to Mar 25, 2020
      • Advisory activities · 3 to 2
        Jul 2, 2018 to Mar 29, 2019
      • Employees · 8 to 7
        Jul 2, 2018 to Mar 29, 2019
      • Other offices · 2 to 1
        Jul 2, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.7B to $1.6B
        Jul 2, 2018 to Mar 29, 2019
      • HNW RAUM · $93.0M to $88.9M
        Jul 2, 2018 to Mar 29, 2019
      • RAUM · $1.7B to $1.6B
        Jul 2, 2018 to Mar 29, 2019
      • Business name · M•••• C••••••• L•• to M•••• C••••••• L•
        Apr 6, 2018 to Jul 2, 2018
      • Legal name · M•••• C••••••• L•• to M•••• C••••••• L•
        Mar 30, 2018 to Apr 6, 2018
      • Succession · true to false
        Mar 30, 2018 to Apr 6, 2018
      • Advisory employees · 1 to 4
        Mar 29, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 3
        Mar 29, 2017 to Mar 30, 2018
      • Employees · 1 to 8
        Mar 29, 2017 to Mar 30, 2018
      • State-registered IARs · 1 to 2
        Mar 29, 2017 to Mar 30, 2018
      • Other offices · unset to 2.0
        Mar 29, 2017 to Mar 30, 2018
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.6B to $1.7B
        Mar 29, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 92997674.0
        Mar 29, 2017 to Mar 30, 2018
      • RAUM · $1.6B to $1.7B
        Mar 29, 2017 to Mar 30, 2018
      • Succession · false to true
        Mar 29, 2017 to Mar 30, 2018
      • Accounts · 3 to 4
        Mar 13, 2017 to Mar 29, 2017
      • Discretionary RAUM · $1.5B to $1.6B
        Mar 13, 2017 to Mar 29, 2017
      • RAUM · $1.5B to $1.6B
        Mar 13, 2017 to Mar 29, 2017
      • Discretionary RAUM · $150M to $1.5B
        Mar 30, 2016 to Mar 13, 2017
      • RAUM · $150M to $1.5B
        Mar 30, 2016 to Mar 13, 2017
      • Advisory activities · 3 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.6B to $150M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.6B to $150M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.5B to $1.6B
        Mar 29, 2014 to Mar 31, 2015
      • RAUM · $1.5B to $1.6B
        Mar 29, 2014 to Mar 31, 2015
      • Discretionary RAUM · $125M to $1.5B
        Apr 3, 2013 to Mar 29, 2014
      • Non-discretionary RAUM · $1.3B to $0
        Apr 3, 2013 to Mar 29, 2014
      • RAUM · $1.4B to $1.5B
        Apr 3, 2013 to Mar 29, 2014
      • Discretionary RAUM · $115M to $125M
        Dec 6, 2012 to Apr 3, 2013
      • Non-discretionary RAUM · $1.2B to $1.3B
        Dec 6, 2012 to Apr 3, 2013
      • RAUM · $1.3B to $1.4B
        Dec 6, 2012 to Apr 3, 2013
      • Advisory employees · unset to 1.0
        Feb 14, 2012 to Dec 6, 2012
      • Employees · unset to 1.0
        Feb 14, 2012 to Dec 6, 2012
      • State-registered IARs · 0 to 1
        Feb 14, 2012 to Dec 6, 2012
      Signals
      6 dated events
      • ••• Locked
        Jan 23, 2024 · Control person left · inference
      • ••• Locked
        Nov 1, 2022 · Control person left · inference
      • ••• Locked
        Mar 25, 2020 · Control person joined · fact
      • ••• Locked
        Mar 25, 2020 · Control person joined · fact
      • ••• Locked
        Mar 25, 2020 · Control person joined · fact
      Full timeline · 6 events
      • ••• Locked
        Mar 30, 2018 · Succession (Item 4) · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026