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Former SEC-registered adviser

M•••••• C••••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 136018SEC 801-64461IAPD
Latest filing May 29, 2020
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$116M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$116M gross assets
History
18 filings and snapshots on the tape
RAUM$116M as of Mar 30, 2020
Mar 29, 2012$250M then
HNW client RAUM$0 as of Mar 30, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 29, 20120 then
Employees (5.A)4 as of Mar 30, 2020
Apr 1, 201310 then
Private funds3 as of Mar 30, 2020
Mar 29, 20126 then
RAUM -24% over the last fiscal year-2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 29, 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
$29.1MderivedRAUM 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
-24%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$116M, 4 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$116M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$116M for 4 clientsreported
Compensation
% of AUM, 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••• I••••••••• • R••••• C••••••••• L•••Private Equity Fund$95.6M52Mar 29, 2012
      M•••••• I•••• D•••••• A•••• F••• L•• •••• B••••Hedge Fund$20.3M69Oct 24, 2016
      M•••••• I•••• S••••• E••••• F••• 2• L••no longer reportedHedge Fund$7.6M205Mar 29, 2012
      M•••••• I•••• R••••••••• C••••• F••• L•••no longer reportedHedge Fund$6.0M1Mar 29, 2012
      M•••••• I•••• S••••• E••••• F••• L••no longer reportedHedge Fund$4.0M80Mar 29, 2012
      M•••••• C•••••••• 1• L•••no longer reportedHedge Fund$987,0711Mar 29, 2012
      M•••••• I•••• D•••••• A•••• F••• L•• •••• O••••Hedge Fund$373,0252Apr 2, 2019
      M•••••• I•••• O••••••••• F••• L••no longer reportedHedge Fund$177,1496Mar 29, 2012
      M•••••• I•••• D•••••• A•••• F•••• L•••no longer reportedHedge Fund$02Oct 24, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••• A•••••• P••••• · Membercontrol
        since 04/2009 · owns 75% or more
      • P••••••• G••••• · Senior Managing Director And Chief Compliance Officer
        since 04/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M•••• G•••••• P••••••• L••
        pooled vehicle sponsorn
      • M••• G•••••• P••••••• L••
        pooled vehicle sponsorn
      • P••••••• C•••••• P•••••• L••••••
        investment adviserbankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $154M to $116M
        Dec 19, 2019 to Mar 30, 2020
      • Employees · 3 to 4
        Dec 19, 2019 to Mar 30, 2020
      • Discretionary RAUM · $154M to $116M
        Dec 19, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $154M to $116M
        Dec 19, 2019 to Mar 30, 2020
      • RAUM · $154M to $116M
        Dec 19, 2019 to Mar 30, 2020
      • Employees · 5 to 3
        Jun 7, 2019 to Dec 19, 2019
      • Assets in custody · $129M to $154M
        Mar 30, 2018 to Apr 2, 2019
      • Employees · 4 to 5
        Mar 30, 2018 to Apr 2, 2019
      • Private funds · 2 to 3
        Mar 30, 2018 to Apr 2, 2019
      • Discretionary RAUM · $129M to $154M
        Mar 30, 2018 to Apr 2, 2019
      • Pooled vehicle RAUM · $129M to $154M
        Mar 30, 2018 to Apr 2, 2019
      • RAUM · $129M to $154M
        Mar 30, 2018 to Apr 2, 2019
      • Accounts · 6 to 4
        Sep 27, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 4.0
        Sep 27, 2017 to Mar 30, 2018
      • Assets in custody · $123M to $129M
        Sep 27, 2017 to Mar 30, 2018
      • Employees · 6 to 4
        Sep 27, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Discretionary RAUM · $127M to $129M
        Sep 27, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Sep 27, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 128990661.0
        Sep 27, 2017 to Mar 30, 2018
      • RAUM · $127M to $129M
        Sep 27, 2017 to Mar 30, 2018
      • Assets in custody · $138M to $123M
        Oct 24, 2016 to Mar 31, 2017
      • Private funds · 3 to 2
        Oct 24, 2016 to Mar 31, 2017
      • Discretionary RAUM · $138M to $127M
        Oct 24, 2016 to Mar 31, 2017
      • RAUM · $138M to $127M
        Oct 24, 2016 to Mar 31, 2017
      • Private funds · 2 to 3
        Sep 2, 2016 to Oct 24, 2016
      • Employees · 5 to 6
        Mar 30, 2016 to Sep 2, 2016
      • Accounts · 11 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $148M to $138M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 6 to 5
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 5 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $148M to $138M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $148M to $138M
        Mar 31, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • Russell Makepeace (Chief Operations Officer) no longer on Schedule A of M•••••• C••••••• L•• (listed 2019-06-07, absent 2019-12-19)
        Dec 19, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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