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••••••••• L••
Latest filing Feb 3, 2017
First filing on the tape Feb 23, 2012 · 11 filings
RAUM
$70.1M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$70.1M gross assets
History
11 filings and snapshots on the tape
RAUM$70.1M as of Feb 3, 2017
Feb 23, 2012$87.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2017
Feb 23, 20120 then
Employees (5.A)1 as of Feb 3, 2017
Feb 6, 20132 then
Private funds2 as of Feb 3, 2017
Feb 23, 20122 then
RAUM -26% over the last fiscal year-9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 3, 2017; 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
- $35.0MderivedRAUM 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
- -26%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
- $70.1M, 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
- 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
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
- $70.1M 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• G••••• S••••••••• L••• | Hedge Fund | $10.3M | 7 | Feb 23, 2012 |
| M••••• G••••• S••••••••• •••••••• L••• | Hedge Fund | $1.7M | 1 | Feb 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• K••••• K••••••• · Managing Member/Chief Compliance Officercontrolsince 04/2003 · owns 75% or more
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
- Assets in custody · $94.3M to $70.1MNov 21, 2016 to Feb 3, 2017
- Discretionary RAUM · $94.3M to $70.1MNov 21, 2016 to Feb 3, 2017
- RAUM · $94.3M to $70.1MNov 21, 2016 to Feb 3, 2017
- Advisory employees · 2 to 1Feb 1, 2016 to Mar 14, 2016
- Employees · 2 to 1Feb 1, 2016 to Mar 14, 2016
- Assets in custody · $97.4M to $94.3MMar 26, 2015 to Feb 1, 2016
- Discretionary RAUM · $97.4M to $94.3MMar 26, 2015 to Feb 1, 2016
- RAUM · $97.4M to $94.3MMar 26, 2015 to Feb 1, 2016
- BD registered reps · 2 to 0Apr 8, 2014 to Feb 24, 2015
- Assets in custody · $95.2M to $97.4MApr 8, 2014 to Feb 24, 2015
- Discretionary RAUM · $95.2M to $97.4MApr 8, 2014 to Feb 24, 2015
- RAUM · $95.2M to $97.4MApr 8, 2014 to Feb 24, 2015
- BD registered reps · 0 to 2Feb 6, 2013 to Mar 25, 2014
- Assets in custody · $87.9M to $95.2MFeb 6, 2013 to Mar 25, 2014
- Discretionary RAUM · $80.5M to $95.2MFeb 6, 2013 to Mar 25, 2014
- RAUM · $80.5M to $95.2MFeb 6, 2013 to Mar 25, 2014
- Advisory employees · unset to 2.0Mar 23, 2012 to Feb 6, 2013
- Employees · unset to 2.0Mar 23, 2012 to Feb 6, 2013
- Discretionary RAUM · $87.9M to $80.5MMar 23, 2012 to Feb 6, 2013
- RAUM · $87.9M to $80.5MMar 23, 2012 to Feb 6, 2013
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