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•••••• C•••••• I••••••••• A••••••• L••
Latest filing Mar 15, 2022
First filing on the tape Feb 29, 2012 · 15 filings
RAUM
$190M
reported, Item 5.F
Discretionary
46%
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$88.2M gross assets
History
15 filings and snapshots on the tape
RAUM$190M as of Mar 15, 2022
Feb 29, 2012$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2022
Feb 29, 20120 then
Employees (5.A)5 as of Mar 15, 2022
Feb 12, 20136 then
Private funds1 as of Mar 15, 2022
Mar 12, 20151 then
RAUM +1.4% over the last fiscal year+28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2022; 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
- $47.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 46%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
- +1.4%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 pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $90.0M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$190M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.0M for 1 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••• C•••••• P••••••• L• | Hedge Fund | $88.2M | 26 | Aug 27, 2014 |
Owners and control persons
Schedule A and B, latest filing
- A••••• R•••••• A••• · Managing Director, Ccocontrolsince 12/2015 · owns less than 5%
- C•••••• E•••••• R••••• · Managing Partner, Co Chief Investment Officercontrolsince 05/2015 · owns 50% to 75%
- D•••• M•••• J•••••• · Managing Directorcontrolsince 09/2005 · owns less than 5%
- K••••••••• N•••••• T••••• · Managing Partner, Co Chief Investment Officercontrolsince 05/2015 · owns less than 5%
- W••••• L••••• S•••••• · Co-Founder And Senior Advisorsince 12/2015 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• C•••••• O••••••• A••••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $90.0M to $88.2MFeb 23, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $97.0M to $102MFeb 23, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $187M to $190MFeb 23, 2021 to Mar 15, 2022
- RAUM · $187M to $190MFeb 23, 2021 to Mar 15, 2022
- Accounts · 3 to 4Mar 12, 2020 to Feb 23, 2021
- Pooled vehicle clients · 3 to 4Mar 12, 2020 to Feb 23, 2021
- Assets in custody · $81.0M to $90.0MMar 12, 2020 to Feb 23, 2021
- Discretionary RAUM · $81.0M to $90.0MMar 12, 2020 to Feb 23, 2021
- Non-discretionary RAUM · $42.0M to $97.0MMar 12, 2020 to Feb 23, 2021
- Pooled vehicle RAUM · $123M to $187MMar 12, 2020 to Feb 23, 2021
- RAUM · $123M to $187MMar 12, 2020 to Feb 23, 2021
- Accounts · 1 to 3Mar 15, 2019 to Mar 12, 2020
- Pooled vehicle clients · 1 to 3Mar 15, 2019 to Mar 12, 2020
- Assets in custody · $102M to $81.0MMar 15, 2019 to Mar 12, 2020
- Discretionary RAUM · $90.6M to $81.0MMar 15, 2019 to Mar 12, 2020
- Non-discretionary RAUM · $0 to $42.0MMar 15, 2019 to Mar 12, 2020
- Pooled vehicle RAUM · $90.6M to $123MMar 15, 2019 to Mar 12, 2020
- RAUM · $90.6M to $123MMar 15, 2019 to Mar 12, 2020
- Advisory employees · 6 to 5Mar 6, 2018 to Mar 15, 2019
- Employees · 6 to 5Mar 6, 2018 to Mar 15, 2019
- Discretionary RAUM · $102M to $90.6MMar 6, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $102M to $90.6MMar 6, 2018 to Mar 15, 2019
- RAUM · $102M to $90.6MMar 6, 2018 to Mar 15, 2019
- Pooled vehicle clients · unset to 1.0Mar 2, 2017 to Mar 6, 2018
- Assets in custody · $109M to $102MMar 2, 2017 to Mar 6, 2018
- Other offices · unset to 0.0Mar 2, 2017 to Mar 6, 2018
- Discretionary RAUM · $109M to $102MMar 2, 2017 to Mar 6, 2018
- Pooled vehicle RAUM · unset to 101700000.0Mar 2, 2017 to Mar 6, 2018
- RAUM · $109M to $102MMar 2, 2017 to Mar 6, 2018
- Advisory activities · 1 to 2Mar 2, 2016 to Mar 2, 2017
- Assets in custody · $124M to $109MMar 2, 2016 to Mar 2, 2017
- Discretionary RAUM · $124M to $109MMar 2, 2016 to Mar 2, 2017
- RAUM · $124M to $109MMar 2, 2016 to Mar 2, 2017
- Advisory employees · 7 to 6Jun 1, 2015 to Mar 2, 2016
- Assets in custody · $132M to $124MJun 1, 2015 to Mar 2, 2016
- Employees · 7 to 6Jun 1, 2015 to Mar 2, 2016
- Discretionary RAUM · $131M to $124MJun 1, 2015 to Mar 2, 2016
- RAUM · $131M to $124MJun 1, 2015 to Mar 2, 2016
- Advisory employees · 6 to 7Mar 12, 2015 to Jun 1, 2015
- Employees · 6 to 7Mar 12, 2015 to Jun 1, 2015
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