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.

Former SEC-registered adviser

Monaco Capital Management, LLC

Former SEC-registered adviserVirginia Beach, VirginiaCRD 130174SEC 801-118695IAPD
Latest filing Feb 16, 2024
First filing on the tape Mar 14, 2012 · 29 filings
RAUM
$172M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$164M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$172M as of Jan 25, 2023
Mar 14, 2012$66.5M then
HNW client RAUM$103M as of Jan 25, 2023
Feb 25, 2021$110M then
State-registered IARs (5.B.3)2 as of Jan 25, 2023
Mar 14, 20120 then
Employees (5.A)4 as of Jan 25, 2023
Mar 24, 20164 then
Private funds: no history
RAUM -16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 16, 2024; every figure names its basis
RAUM per advisor
$85.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
217derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$164,462derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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 an insurance broker or agent (6.A.6)
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$103M60%
  • Individuals$61.2M36%
  • Corporations and businesses$2.9M1.7%
  • Charitable organizations$2.8M1.6%
  • Pension and profit-sharing plans$2.4M1.4%
Individual clients
391reported
HNW clients
42reported
Pension plan clients
5reported
Charitable clients
3reported
Accounts
1,045reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Lynn Kirstin Hark · Chief Compliance Officer And Director Of Financial Planningcontrol
      since 12/2023 · owns less than 5%
    Entity owners
    • Freedom Street Partners LLC · Owner
      direct · owns 75% or more
    • Fsp Enterprise LLC · Owner
      indirect · owns 75% or more of Freedom Street Partners LLC
    • Steward Partners Holdings, LLC · Owner
      indirect · owns 75% or more of Fsp Enterprise LLC
    • Steward Partners Management Holdings, LLC · Owner
      indirect · owns 50% to 75% of Steward Partners Holdings, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Monaco Capital Management, LLC as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Portsmouth, Va000
    Virginia Beach, Va · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · 2 to 0
      Dec 19, 2023 to Jan 9, 2024
    • Related broker-dealer · false to true
      Dec 19, 2023 to Jan 9, 2024
    • Other offices · 3 to 2
      Nov 2, 2023 to Dec 14, 2023
    • Employees · 4 to 3
      Jun 27, 2023 to Sep 6, 2023
    • Related adviser · false to true
      Jun 27, 2023 to Sep 6, 2023
    • Other offices · 0 to 3
      Feb 16, 2023 to Jun 27, 2023
    • Accounts · 1,018 to 1,045
      Nov 15, 2022 to Jan 25, 2023
    • Corporate clients · 0 to 4
      Nov 15, 2022 to Jan 25, 2023
    • HNW clients · 49 to 42
      Nov 15, 2022 to Jan 25, 2023
    • Individual clients · 374 to 391
      Nov 15, 2022 to Jan 25, 2023
    • Pension plan clients · 4 to 5
      Nov 15, 2022 to Jan 25, 2023
    • Employees · 5 to 4
      Nov 15, 2022 to Jan 25, 2023
    • Discretionary RAUM · $204M to $170M
      Nov 15, 2022 to Jan 25, 2023
    • HNW RAUM · $127M to $103M
      Nov 15, 2022 to Jan 25, 2023
    • Individual RAUM · $71.6M to $61.2M
      Nov 15, 2022 to Jan 25, 2023
    • Non-discretionary RAUM · $1.1M to $1.7M
      Nov 15, 2022 to Jan 25, 2023
    • Pension RAUM · $3.5M to $2.4M
      Nov 15, 2022 to Jan 25, 2023
    • RAUM · $205M to $172M
      Nov 15, 2022 to Jan 25, 2023
    • Accounts · 917 to 1,018
      Oct 27, 2021 to Feb 9, 2022
    • Charity clients · 0 to 3
      Oct 27, 2021 to Feb 9, 2022
    • HNW clients · 44 to 49
      Oct 27, 2021 to Feb 9, 2022
    • Individual clients · 347 to 374
      Oct 27, 2021 to Feb 9, 2022
    • Pension plan clients · 0 to 4
      Oct 27, 2021 to Feb 9, 2022
    • Discretionary RAUM · $177M to $204M
      Oct 27, 2021 to Feb 9, 2022
    • HNW RAUM · $110M to $127M
      Oct 27, 2021 to Feb 9, 2022
    • Individual RAUM · $64.4M to $71.6M
      Oct 27, 2021 to Feb 9, 2022
    • Non-discretionary RAUM · $1.7M to $1.1M
      Oct 27, 2021 to Feb 9, 2022
    • Pension RAUM · $2.1M to $3.5M
      Oct 27, 2021 to Feb 9, 2022
    • RAUM · $178M to $205M
      Oct 27, 2021 to Feb 9, 2022
    • Accounts · 815 to 917
      Aug 18, 2020 to Feb 25, 2021
    • Advisory employees · 3 to 2
      Aug 18, 2020 to Feb 25, 2021
    • HNW clients · 26 to 44
      Aug 18, 2020 to Feb 25, 2021
    • Individual clients · 319 to 347
      Aug 18, 2020 to Feb 25, 2021
    • State-registered IARs · 3 to 2
      Aug 18, 2020 to Feb 25, 2021
    • Discretionary RAUM · $119M to $177M
      Aug 18, 2020 to Feb 25, 2021
    • HNW RAUM · $48.4M to $110M
      Aug 18, 2020 to Feb 25, 2021
    • Individual RAUM · $66.6M to $64.4M
      Aug 18, 2020 to Feb 25, 2021
    • Non-discretionary RAUM · $0 to $1.7M
      Aug 18, 2020 to Feb 25, 2021
    • Pension RAUM · $241,300 to $2.1M
      Aug 18, 2020 to Feb 25, 2021
    • RAUM · $119M to $178M
      Aug 18, 2020 to Feb 25, 2021
    Signals
    13 dated events
    • Andrew Christopher Gregory left Monaco Capital Management, Llc for Steward Partners Investment Advisory, Llc (registered 2024-03-15)
      Mar 25, 2024 · Advisor changed firm · fact
    • Kirstin Lynn Hark left Monaco Capital Management, Llc for Steward Partners Investment Advisory, Llc (registered 2024-04-19)
      Mar 25, 2024 · Advisor changed firm · fact
    • 2 advisors left Monaco Capital Management, LLC (Virginia Beach, VA) for Steward Partners Investment Advisory, LLC on the same day
      Mar 25, 2024 · Team lift-out · derived
    • Wayne Scott Danner (Control Member) no longer on Schedule A of Monaco Capital Management, Llc (listed 2024-01-09, absent 2024-02-16)
      Feb 16, 2024 · Control person left · inference
    • Christopher Andrew Gregory (Member) no longer on Schedule A of Monaco Capital Management, Llc (listed 2024-01-09, absent 2024-02-16)
      Feb 16, 2024 · Control person left · inference
    • Andrea Lee Mcmurran left Monaco Capital Management, Llc for Raymond James Financial Services Advisors, Inc (registered 2024-02-20)
      Dec 22, 2023 · Advisor changed firm · fact
    • Lynn Kirstin Hark (Chief Compliance Officer) appeared on Schedule A of Monaco Capital Management, Llc
      Dec 15, 2023 · Control person joined · fact
    • Lee Kirstin Hark (Chief Compliance Officer) no longer on Schedule A of Monaco Capital Management, Llc (listed 2023-12-14, absent 2023-12-15)
      Dec 15, 2023 · Control person left · inference
    • Lee Andrea Mcmurran (Chief Compliance Officer) appeared on Schedule A of Monaco Capital Management, Llc
      Sep 6, 2023 · Control person joined · fact
    • Anthony Joseph Monaco (President And Chief Compliance Officer) no longer on Schedule A of Monaco Capital Management, Llc (listed 2023-06-27, absent 2023-09-06)
      Sep 6, 2023 · Control person left · inference
    • Wayne Scott Danner (Control Member) appeared on Schedule A of Monaco Capital Management, Llc
      Jan 25, 2023 · Control person joined · fact
    • Christopher Andrew Gregory (Member) appeared on Schedule A of Monaco Capital Management, Llc
      Jan 25, 2023 · Control person joined · fact
    • Monaco Capital Management, Llc filed its initial SEC registration (Form ADV)
      Mar 26, 2015 · First SEC registration · 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
    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