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•••• M••••••••• L••
Latest filing Jun 4, 2012
First filing on the tape Mar 21, 2012 · 6 filings
RAUM
$54.4M
reported, Item 5.F
Discretionary
90%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$4.3M gross assets
History
6 filings and snapshots on the tape
RAUM$54.4M as of Jun 4, 2012
Mar 21, 2012$54.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Jun 4, 2012
Mar 21, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 4, 2012; 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
- $438,565derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%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
- 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
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
- 124reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- M••• E••••• M••••••• to B•••••• H•••• W••••• M••••••••• L••Mar 21, 2014 · Other
- I••• J••••••••• to B•••••• H•••• W••••• M••••••••• L••Mar 21, 2014 · Other
- A•••• M••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 11, 2013 · Other
Joined, latest
- A•••• M••••••• from G•••••• S•••• W••••• S•••••••• L•••Jul 11, 2007 · Other
- I••• J••••••••• from M••••• S•••••• D• I•••Jan 27, 2006 · Other
- M••• E••••• M••••••• from M••••• S•••••• D• I•••Jan 6, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• H••••• E••••••• R••••••• G••••• F•••• L• | Hedge Fund | $4.3M | 2 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- J••••••••• I••• · Chief Compliance Officercontrolsince 06/2009 · owns less than 5%
- M•••••••• M•••• E••••• · Managing Director, Chief Investment Officercontrolsince 10/2005 · owns 75% or more
- M•••••••• M••••••• L••• · Chief Operation Officercontrolsince 05/2007 · owns less than 5%
- M•••••••• J••••• T••••••• · Managing Membersince 03/2006 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Mar 26, 2012 to May 24, 2012
- Assets in custody · unset to 4312724.0Mar 26, 2012 to May 24, 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