DFX Intelligence
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Former SEC-registered adviser
M••••••• A•••• M•••••••••
Legal name M••••••• A•••• M••••••••• L••
Latest filing Jun 30, 2014
First filing on the tape Apr 2, 2012 · 8 filings
RAUM
$8.5M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$21.0M as of Mar 31, 2014
Apr 2, 2012$73.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 1, 20130 then
Employees (5.A)2 as of Mar 31, 2014
Apr 1, 20132 then
Private funds: no history
RAUM -92% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 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
- $110,598derivedRAUM 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
- -80%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 77reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••••••• R••••• · Member, Chief Operating Officercontrolsince 03/2000 · owns 25% to 50%
- E••••• B••••• F••••••••• · Member, Chief Compliance Officercontrolsince 05/2007 · owns less than 5%
- P••••••• M•••••• G•• · Membercontrolsince 05/1998 · owns 50% to 75%
- D••••• C••••••••• R••••• · Presidentcontrolsince 01/1999 · owns 75% or more of Third Quadrant Corp.
- E••••• B••••• F••••••••• · Presidentcontrolsince 01/2008 · owns 75% or more of T•• S•• O• V•••••• L••
- P••••••• M•••••• G•• · Presidentcontrolsince 02/1997 · owns 75% or more of M•• E••••••••• L••
Entity owners
- M••••••• F•••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- M•• E••••••••• L•• · Memberdirect · owns 25% to 50%
- T•• S•• O• V•••••• L•• · Memberdirect · owns 5% to 10%
- M••••••• U••••••• L•• · Memberindirect · owns 25% to 50% of M••••••• F•••••••• H•••••••
Related persons
Schedule D 7.A
- M••••• G• P••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 96 to 77Apr 3, 2014 to Jun 30, 2014
- Discretionary RAUM · $21.0M to $8.5MApr 3, 2014 to Jun 30, 2014
- RAUM · $21.0M to $8.5MApr 3, 2014 to Jun 30, 2014
- Accounts · 515 to 96Mar 7, 2014 to Mar 31, 2014
- Discretionary RAUM · $103M to $21.0MMar 7, 2014 to Mar 31, 2014
- RAUM · $103M to $21.0MMar 7, 2014 to Mar 31, 2014
- HQ city · SALT LAKE CITY to COTTONWOOD HEIGHTSApr 1, 2013 to Mar 7, 2014
- Accounts · 532 to 515Dec 13, 2012 to Apr 1, 2013
- Discretionary RAUM · $103M to $103MDec 13, 2012 to Apr 1, 2013
- RAUM · $103M to $103MDec 13, 2012 to Apr 1, 2013
- Accounts · 541 to 532Jun 1, 2012 to Dec 13, 2012
- Advisory employees · unset to 2.0Jun 1, 2012 to Dec 13, 2012
- BD registered reps · unset to 0.0Jun 1, 2012 to Dec 13, 2012
- Employees · unset to 2.0Jun 1, 2012 to Dec 13, 2012
- State-registered IARs · unset to 0.0Jun 1, 2012 to Dec 13, 2012
- Discretionary RAUM · $73.2M to $103MJun 1, 2012 to Dec 13, 2012
- RAUM · $73.2M to $103MJun 1, 2012 to Dec 13, 2012
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