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••••••• A•••• G••••• I•••
Latest filing Mar 25, 2024
First filing on the tape Mar 30, 2012 · 13 filings
SEC status approved since Jan 12, 2010
RAUM
$194M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$163M gross assets
History
13 filings and snapshots on the tape
RAUM$194M as of Mar 25, 2024
Mar 30, 2012$67.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Mar 30, 20120 then
Employees (5.A)8 as of Mar 25, 2024
Mar 26, 20135 then
Private funds2 as of Mar 25, 2024
Mar 30, 20121 then
RAUM -13% over the last fiscal year-5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2024; 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
- $64.7MderivedRAUM 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
- -13%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- 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$163M84%
- Investment companies$31.0M16%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• F•••• L• | Hedge Fund | $148M | 58 | Mar 30, 2012 |
| M••••••• C••••••• L• | Other Private Fund | $15.1M | 23 | Mar 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••••• M• · Chief Financial Officer/Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- K••••••• W••••••• L•••• · Presidentcontrolsince 12/2001 · owns 50% to 75%
- M••••••• W••••••• M••••••• · Secretary/Treasurercontrolsince 12/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
- M••••••• C•••••• G•• L•pooled vehicle sponsorn
- M••••••• C••••••• I•••pooled vehicle sponsorn
- M••••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 9 to 8Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $224M to $194MMar 30, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $184M to $163MMar 30, 2023 to Mar 25, 2024
- RAUM · $224M to $194MMar 30, 2023 to Mar 25, 2024
- Accounts · 2 to 3Mar 28, 2022 to Mar 30, 2023
- Employees · 10 to 9Mar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $245M to $224MMar 28, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $245M to $184MMar 28, 2022 to Mar 30, 2023
- RAUM · $245M to $224MMar 28, 2022 to Mar 30, 2023
- Employees · 8 to 10Mar 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $226M to $245MMar 25, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $226M to $245MMar 25, 2021 to Mar 28, 2022
- RAUM · $226M to $245MMar 25, 2021 to Mar 28, 2022
- Private funds · 1 to 2Mar 27, 2020 to Mar 25, 2021
- Discretionary RAUM · $147M to $226MMar 27, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $147M to $226MMar 27, 2020 to Mar 25, 2021
- RAUM · $147M to $226MMar 27, 2020 to Mar 25, 2021
- Advisory activities · 2 to 1Mar 26, 2019 to Mar 27, 2020
- Pooled vehicle clients · 1 to 2Mar 26, 2019 to Mar 27, 2020
- Discretionary RAUM · $181M to $147MMar 26, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $133M to $147MMar 26, 2019 to Mar 27, 2020
- RAUM · $181M to $147MMar 26, 2019 to Mar 27, 2020
- Discretionary RAUM · $165M to $181MMar 28, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $117M to $133MMar 28, 2018 to Mar 26, 2019
- RAUM · $165M to $181MMar 28, 2018 to Mar 26, 2019
- Pooled vehicle clients · unset to 1.0Mar 27, 2017 to Mar 28, 2018
- Employees · 7 to 8Mar 27, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 28, 2018
- Discretionary RAUM · $158M to $165MMar 27, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 116858000.0Mar 27, 2017 to Mar 28, 2018
- RAUM · $158M to $165MMar 27, 2017 to Mar 28, 2018
- Financial planning clients · 0 to unsetMar 22, 2016 to Mar 27, 2017
- Discretionary RAUM · $157M to $158MMar 22, 2016 to Mar 27, 2017
- RAUM · $157M to $158MMar 22, 2016 to Mar 27, 2017
- Advisory employees · 3 to 4Mar 31, 2015 to Mar 22, 2016
- Employees · 5 to 7Mar 31, 2015 to Mar 22, 2016
- Discretionary RAUM · $154M to $157MMar 31, 2015 to Mar 22, 2016
- RAUM · $154M to $157MMar 31, 2015 to Mar 22, 2016
- Accounts · 3 to 2Mar 28, 2014 to Mar 31, 2015
- Discretionary RAUM · $129M to $154MMar 28, 2014 to Mar 31, 2015
Signals
3 dated events
- M••••••• A•••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $194.1M)May 2, 2025 · Left the SEC roster · derived
- M Jocelyn Dalkin (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of M••••••• A•••• G••••• I•••Mar 28, 2022 · Control person joined · fact
- James Daniel Hammond (Chief Financial Officer) no longer on Schedule A of M••••••• A•••• G••••• I••• (listed 2021-03-25, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
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