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••••••• F••• A•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 133232SEC 801-63953IAPD
Latest filing Jan 30, 2020
First filing on the tape Nov 15, 2011 · 23 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$0 as of Jan 18, 2019
Jan 30, 2012$1.4B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Jan 30, 2020
Jan 29, 20130 then
Employees (5.A)2 as of Jan 30, 2020
Jan 29, 201318 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 30, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C•••••••• S•• C•••• · Directorcontrol
        since 07/2015 · owns less than 5%
      • P••••••• J•••• J••••• · Membercontrol
        since 07/2015 · owns 5% to 10%
      • P•••••• D•••••• H•••••• · Directorcontrol
        since 07/2015 · owns less than 5%
      • L•••••• L••••• S• · Member, Ownercontrol
        since 12/2011 · owns 50% to 75% of L•• H•••••••• L••
      • N•••••• A••••• L• · Member, Ownercontrol
        since 12/2011 · owns 50% to 75% of L•• H•••••••• L••
      • P••••••• J•••• J••••• · Membercontrol
        since 03/2009 · owns 25% to 50% of A••• A••••••••• L••
      • P•••••• D•••••• H•••••• · Managing Partnercontrol
        since 06/2005 · owns 25% to 50% of G•••• P••••••• L••
      • R••••• E•••• M•••••• · Membercontrol
        since 03/2009 · owns F of A••• A••••••••• L••
      • K•••••• J•••• A• · Chief Compliance Officer
        since 12/2017 · owns less than 5%
      Entity owners
      • A••••••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • G•••• P••••••• · Managing Member
        indirect · owns 25% to 50% of The C•••••• Fund
      • L•• H•••••••• L•• · Member
        indirect · owns 50% to 75% of F••••Mertix F••••••, LLC
      • T•• C•••••• F••• L• · Member
        indirect · owns 25% to 50% of F••••Mertix F••••••, LLC
      • A••• A••••••••• L•• · Member
        direct · owns 5% to 10%
      • F•••• F•••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list M••••••• F••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Jan 18, 2019 to Jan 30, 2020
      • Discretionary RAUM · 0.0 to unset
        Jan 18, 2019 to Jan 30, 2020
      • HNW RAUM · unset to 0.0
        Jan 18, 2019 to Jan 30, 2020
      • Individual RAUM · unset to 0.0
        Jan 18, 2019 to Jan 30, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Jan 18, 2019 to Jan 30, 2020
      • Pension RAUM · unset to 0.0
        Jan 18, 2019 to Jan 30, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Jan 18, 2019 to Jan 30, 2020
      • RAUM · 0.0 to unset
        Jan 18, 2019 to Jan 30, 2020
      • Accounts · 5 to 0
        Mar 8, 2018 to Jan 18, 2019
      • Advisory employees · 1 to 0
        Mar 8, 2018 to Jan 18, 2019
      • Advisory activities · 2 to 1
        Mar 8, 2018 to Jan 18, 2019
      • Employees · 4 to 2
        Mar 8, 2018 to Jan 18, 2019
      • HQ city · NORTH WHITE PLAINS to SAN FRANCISCO
        Mar 8, 2018 to Jan 18, 2019
      • HQ state · NY to CA
        Mar 8, 2018 to Jan 18, 2019
      • Discretionary RAUM · $554M to $0
        Mar 8, 2018 to Jan 18, 2019
      • RAUM · $554M to $0
        Mar 8, 2018 to Jan 18, 2019
      • Accounts · 2 to 5
        Aug 28, 2017 to Mar 8, 2018
      • Advisory activities · 5 to 2
        Aug 28, 2017 to Mar 8, 2018
      • BD registered reps · 5 to 0
        Aug 28, 2017 to Mar 8, 2018
      • Charity clients · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • Corporate clients · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • HNW clients · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • Individual clients · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • Pension plan clients · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • Pooled vehicle clients · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • Employees · 19 to 4
        Aug 28, 2017 to Mar 8, 2018
      • HQ city · NEW YORK to NORTH WHITE PLAINS
        Aug 28, 2017 to Mar 8, 2018
      • Other offices · unset to 0.0
        Aug 28, 2017 to Mar 8, 2018
      • Discretionary RAUM · $691M to $554M
        Aug 28, 2017 to Mar 8, 2018
      • Non-discretionary RAUM · $5.0M to $0
        Aug 28, 2017 to Mar 8, 2018
      • RAUM · $696M to $554M
        Aug 28, 2017 to Mar 8, 2018
      • Business name · R•••• I••••••••• L•• to M••••••• F••• A•••••••• L••
        Mar 8, 2018 to Mar 8, 2018
      • Legal name · R•••• I••••••••• L•• to M••••••• F••• A•••••••• L••
        Jun 5, 2017 to Aug 26, 2017
      • Related broker-dealer · true to false
        Jan 30, 2017 to Jun 5, 2017
      • Accounts · 5 to 2
        Nov 23, 2016 to Jan 30, 2017
      • Advisory employees · 9 to 1
        Nov 23, 2016 to Jan 30, 2017
      • BD registered reps · 15 to 5
        Nov 23, 2016 to Jan 30, 2017
      • Employees · 30 to 19
        Nov 23, 2016 to Jan 30, 2017
      • Insurance-licensed employees · 2 to 0
        Nov 23, 2016 to Jan 30, 2017
      • State-registered IARs · 5 to 0
        Nov 23, 2016 to Jan 30, 2017
      Signals
      2 dated events
      • Joseph John Coyle (Director) no longer on Schedule A of M••••••• F••• A•••••••• L•• (listed 2019-01-18, absent 2020-01-30)
        Jan 30, 2020 · Control person left · inference
      • M••••••• F••• A•••••••• L•• reported RAUM $0, down 100% from $553.9M (2018-03-08 to 2019-01-18)
        Jan 18, 2019 · RAUM change · derived
      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