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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••••••• S••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 131497SEC 801-63215IAPD
Latest filing Mar 31, 2014
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$278M
reported, Item 5.F
Discretionary
98%
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
40
30 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$278M as of Mar 31, 2014
Mar 30, 2012$372M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 30, 20120 then
Employees (5.A)40 as of Mar 31, 2014
Mar 28, 201340 then
Private funds: no history
RAUM +8.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
$39.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
+8.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$278M, 7 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$278M for 7 clientsreported
Compensation
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
      • A•••••••• L••••• J••••••• · Managing Directorcontrol
        since 05/2004 · owns less than 5%
      • C•••••••• K••••••• F•••••• · Chief Financial Officer, Chief Compliance Officer And Managing Directorcontrol
        since 05/2004 · owns less than 5%
      • H•••••• H•••••• I•• · Chairman, Chief Executive Officer And Managing Directorcontrol
        since 05/2004 · owns less than 5%
      • H••••••• M••••••• C•••• · Managing Directorcontrol
        since 05/2004 · owns less than 5%
      • H•••••• M•••• F•••• · Managing Directorcontrol
        since 09/2007 · owns less than 5%
      • M••••• G••••••• D•••• · Managing Directorcontrol
        since 01/2006 · owns less than 5%
      • S•••••• J••••••• M••• · Managing Directorcontrol
        since 05/2004 · owns less than 5%
      • H•••••• H•••••• I•• · Managing Membercontrol
        since 02/2004 · owns 25% to 50% of M•••••••• C•••••• L••
      Entity owners
      • M•••••••• C•••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • M•••••••• C•••••• P••••••• C••••• G•• L•••
        investment adviserpooled vehicle sponsorn
      • M•••••••• C•••••• P••••••• G•• L•••
        investment adviserpooled vehicle sponsorn
      • M•••••••• C•••••• P••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      • M•••••••• Management II LLC
        investment adviserpooled vehicle sponsornRAUM $2.5B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 9 to 0
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $256M to $278M
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $249M to $273M
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $6.2M to $5.5M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $256M to $278M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 9 to 7
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 30.0
        Mar 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 9.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · $372M to $256M
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 40.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $363M to $249M
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $9.0M to $6.2M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $372M to $256M
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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