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•• I••••••••• •••• C••••
Latest filing Aug 6, 2013
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$66.3M
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
6
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$66.3M gross assets
History
14 filings and snapshots on the tape
RAUM$66.3M as of Mar 21, 2013
Mar 30, 2012$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 6
Private funds2 as of Mar 21, 2013
Mar 30, 20125 then
RAUM -49% over the last fiscal year
Practice profile
derived from the filing of Aug 6, 2013; 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
- $33.2MderivedRAUM 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
- -49%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $66.3M, 2 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)
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
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.3M for 2 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• A•• D••••••••• T•••••• C•••••• L• | Other Private Fund | $540M | 4,438 | Aug 29, 2012 |
| A•• A••••• L•• | Hedge Fund | $44.4M | 1 | Mar 30, 2012 |
| M•• I• 2•• P•••••• •••••• 4•• L•• | Other Private Fund | $28.1M | 50 | Mar 30, 2012 |
| M•• I• 2•• P•••••• •••••• 6•• L•• | Other Private Fund | $21.9M | 53 | Mar 30, 2012 |
| M•• I• 2•• P••••••• L•• | Other Private Fund | $13.8M | 18 | Mar 30, 2012 |
| M•• I• 2•• P•••••• •••••• 5•• L•• | Other Private Fund | $11.9M | 27 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• E••• · President; Directorcontrolsince 01/2013 · owns less than 5%
- D••••••••• L••••• A•• · Vice President; Directorcontrolsince 05/2012 · owns less than 5%
- K••••• S•••••• Y••••• · Treasurercontrolsince 01/2013 · owns less than 5%
- L••• O••• · Secretary; Directorcontrolsince 09/2011 · owns less than 5%
- L• G•••• N••••• · Chief Compliance Officercontrolsince 11/2010 · owns less than 5%
Entity owners
- M•• I••••••••• H••••••• I••• · Shareholderdirect · owns 75% or more
- E••• • F• M•• I••••••••• B• · Shareholderindirect · owns 75% or more of M•• I••••••••• U•• H••••••• I•••
- F•••••••• L•••••• · Shareholderindirect · owns 75% or more of E. D. & F. Man Investments Bv
- M•• G•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of F•••••••• L••••••
- M•• G•••• P•• · Shareholderindirect · owns 75% or more of M•• S•••••••• H••••••• L••••••, Formerly Know As Man S•••••••• Holdings Plc
- M•• G•••• U• L•••••• · Shareholderindirect · owns 75% or more of M•• G•••• H••••••• L••••••
- M•• I••••••••• F•••••• L•••••• · Shareholderindirect · owns 75% or more of M•• G•••• U• L••••••
- M•• I••••••••• U•• H••••••• I••• · Shareholderindirect · owns 75% or more of M•• I••••••••• H••••••• I•••
- M•• S•••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of M•• I••••••••• F•••••• L••••••
Related persons
Schedule D 7.A
- F•• I••••••••• •••• L••investment adviserbankpooled vehicle sponsornRAUM $141M
- G•• I•••investment adviserbanknRAUM $5.0B
- G•• O•• H••• C•••••• M••••••••• L••bankpooled vehicle sponsorn
- Glg LLCinvestment adviserbanknRAUM $7.0B
- G•• P••••••• G• L••bankpooled vehicle sponsorn
- G•• P••••••• I••••••••• G• L••bankpooled vehicle sponsorn
- M•• A•• U•• L••bankn
- M•• I••••••••• I•••broker-dealern
- M•• I••••••••• L••••••investment adviserbankn
Advisers that list M•• I••••••••• •••• C•••• as a related person
- 145441 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 2Jan 31, 2013 to Mar 21, 2013
- Advisory employees · 4 to 1Jan 31, 2013 to Mar 21, 2013
- Advisory activities · 2 to 1Jan 31, 2013 to Mar 21, 2013
- Assets in custody · $125M to $66.3MJan 31, 2013 to Mar 21, 2013
- Employees · 4 to 6Jan 31, 2013 to Mar 21, 2013
- Financial planning clients · 0 to unsetJan 31, 2013 to Mar 21, 2013
- Private funds · 6 to 2Jan 31, 2013 to Mar 21, 2013
- Discretionary RAUM · $130M to $66.3MJan 31, 2013 to Mar 21, 2013
- RAUM · $130M to $66.3MJan 31, 2013 to Mar 21, 2013
- Private funds · 5 to 6Nov 16, 2012 to Nov 29, 2012
- Advisory employees · unset to 4.0Aug 29, 2012 to Nov 16, 2012
- BD registered reps · unset to 2.0Aug 29, 2012 to Nov 16, 2012
- Employees · unset to 4.0Aug 29, 2012 to Nov 16, 2012
- State-registered IARs · unset to 0.0Aug 29, 2012 to Nov 16, 2012
- Private funds · 6 to 5Aug 29, 2012 to Nov 16, 2012
- Private funds · 5 to 6Aug 27, 2012 to Aug 29, 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