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Former SEC-registered adviser

M•••••••• B••••••• I••••••••• M•••••••••

Former SEC-registered adviserMelville, New YorkCRD 138338SEC 801-65027IAPD
Legal name M•••••••• I••••••••• M••••••••• L••
Latest filing Apr 13, 2023
First filing on the tape Dec 7, 2011 · 46 filings
RAUM
$93.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
44%
$40.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
$11.8M gross assets
History
46 filings and snapshots on the tape
RAUM$93.1M as of Mar 31, 2023
Mar 23, 2012$90.5M then
HNW client RAUM$34.3M as of Mar 31, 2023
Mar 20, 2018$217M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 23, 20120 then
Employees (5.A)5 as of Mar 31, 2023
Feb 8, 20135 then
Private funds1 as of Mar 31, 2023
Mar 23, 20121 then
RAUM -43% over the last fiscal year-33% a year over threeIARs 1 to 0offices 6 to 4
Practice profile
derived from the filing of Apr 13, 2023; 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
$745,291derivedHNW RAUM over HNW clients
Average account
$547,576derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-43%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$13.2M, 11 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)
  • 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
  • High-net-worth individuals$34.3M37%
  • Pooled investment vehicles$33.3M36%
  • Corporations and businesses$10.8M12%
  • Other investment advisers$7.5M8.1%
  • Individuals$6.5M7.0%
  • Pension and profit-sharing plans$571,1000.6%
Individual clients
38reported
HNW clients
46reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
170reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$13.2M for 11 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    M•••••••• G••••• V•••• E••••• F•••no longer reportedOther Private Fund$22.3M15Mar 20, 2018
    P••••• C•••••• P•••••••• L•••Hedge Fund$11.8M7Mar 23, 2012
    M•••••••• B••••••• M••••• F•••• L•••no longer reportedHedge Fund$5.6M9Dec 12, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• S•••••••• N•• · Chief Compliance Officercontrol
      since 04/2023 · owns less than 5%
    • L••••••• M••••••• R••• · D•••••••• C•• • P•••••••• O• A•••• A• H••••••• I•••control
      since 06/2022 · owns less than 5%
    • L••••••• S•••••• C•••• · D••••••• • T•••••••• O• A•••• A• H••••••• I•••control
      since 06/2022 · owns less than 5%
    Entity owners
    • A•••• A• H••••••• I••• · M•••••• O• M••••• C•••••• L••
      direct · owns 75% or more
    • M••••• C•••••• L•• · M•••••• O• M•••••••• I••••••••• M••••••••• L••
      direct · owns 75% or more
    • A•••• A• H••••••• I••• · Manager
      indirect · owns 75% or more of M••••• C•••••• L••
    • A•••• H••••••• U• L•••••• · U••• H•••••• C••••••
      indirect · owns 75% or more of A•••• H••••••• U• I•••
    • A•••• H••••••• U• I••• · U••• H•••••• C••••••
      indirect · owns 75% or more of A•••• A• H••••••• I•••
    • A•••• I••• · Parent Company
      indirect · owns 75% or more of A•••• H••••••• U• L••••••
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 191 to 170
      Aug 18, 2022 to Mar 31, 2023
    • Advisory employees · 2 to 1
      Aug 18, 2022 to Mar 31, 2023
    • Corporate clients · 9 to 8
      Aug 18, 2022 to Mar 31, 2023
    • HNW clients · 55 to 46
      Aug 18, 2022 to Mar 31, 2023
    • Individual clients · 44 to 38
      Aug 18, 2022 to Mar 31, 2023
    • Assets in custody · $46.9M to $13.2M
      Aug 18, 2022 to Mar 31, 2023
    • Employees · 6 to 5
      Aug 18, 2022 to Mar 31, 2023
    • State-registered IARs · 1 to 0
      Aug 18, 2022 to Mar 31, 2023
    • Other offices · 6 to 4
      Aug 18, 2022 to Mar 31, 2023
    • Discretionary RAUM · $165M to $93.1M
      Aug 18, 2022 to Mar 31, 2023
    • HNW RAUM · $69.4M to $34.3M
      Aug 18, 2022 to Mar 31, 2023
    • Individual RAUM · $11.7M to $6.5M
      Aug 18, 2022 to Mar 31, 2023
    • Pension RAUM · $870,786 to $571,100
      Aug 18, 2022 to Mar 31, 2023
    • Pooled vehicle RAUM · $47.8M to $33.3M
      Aug 18, 2022 to Mar 31, 2023
    • RAUM · $165M to $93.1M
      Aug 18, 2022 to Mar 31, 2023
    • Business name · M•••••••• I••••••••• M••••••••• L•• to M•••••••• B••••••• I••••••••• M•••••••••
      Jul 6, 2022 to Jul 6, 2022
    • Accounts · 209 to 191
      Sep 14, 2021 to Mar 30, 2022
    • Charity clients · 1.0 to unset
      Sep 14, 2021 to Mar 30, 2022
    • HNW clients · 59 to 55
      Sep 14, 2021 to Mar 30, 2022
    • Individual clients · 48 to 44
      Sep 14, 2021 to Mar 30, 2022
    • Pension plan clients · 2 to 1
      Sep 14, 2021 to Mar 30, 2022
    • Assets in custody · $15.1M to $46.9M
      Sep 14, 2021 to Mar 30, 2022
    • Other offices · 0 to 6
      Sep 14, 2021 to Mar 30, 2022
    • Discretionary RAUM · $181M to $165M
      Sep 14, 2021 to Mar 30, 2022
    • HNW RAUM · $58.6M to $69.4M
      Sep 14, 2021 to Mar 30, 2022
    • Individual RAUM · $10.5M to $11.7M
      Sep 14, 2021 to Mar 30, 2022
    • Pension RAUM · $1.8M to $870,786
      Sep 14, 2021 to Mar 30, 2022
    • Pooled vehicle RAUM · $25.5M to $47.8M
      Sep 14, 2021 to Mar 30, 2022
    • RAUM · $181M to $165M
      Sep 14, 2021 to Mar 30, 2022
    • Accounts · 223 to 209
      Aug 18, 2020 to Mar 25, 2021
    • Corporate clients · 10 to 9
      Aug 18, 2020 to Mar 25, 2021
    • HNW clients · 66 to 59
      Aug 18, 2020 to Mar 25, 2021
    • Individual clients · 53 to 48
      Aug 18, 2020 to Mar 25, 2021
    • Pension plan clients · 1 to 2
      Aug 18, 2020 to Mar 25, 2021
    • Pooled vehicle clients · 3 to 2
      Aug 18, 2020 to Mar 25, 2021
    • Assets in custody · $9.7M to $15.1M
      Aug 18, 2020 to Mar 25, 2021
    • Discretionary RAUM · $147M to $181M
      Aug 18, 2020 to Mar 25, 2021
    • HNW RAUM · $45.4M to $58.6M
      Aug 18, 2020 to Mar 25, 2021
    • Individual RAUM · $8.5M to $10.5M
      Aug 18, 2020 to Mar 25, 2021
    • Pension RAUM · $1.3M to $1.8M
      Aug 18, 2020 to Mar 25, 2021
    Signals
    12 dated events
    • ••• Locked
      Apr 27, 2023 · Advisor changed firm · fact
    • ••• Locked
      Apr 13, 2023 · c•••••• person left · inference
    • ••• Locked
      Apr 13, 2023 · c•••••• person joined · fact
    • ••• Locked
      Mar 31, 2023 · c•••••• person left · inference
    • ••• Locked
      Mar 31, 2023 · c•••••• person left · inference
    • ••• Locked
      Jun 28, 2022 · c•••••• person joined · fact
    • ••• Locked
      Jun 28, 2022 · c•••••• person joined · fact
    • ••• Locked
      Mar 30, 2022 · Office count change · derived
    • ••• Locked
      Jun 26, 2020 · RAUM change · derived
    • ••• Locked
      Jun 26, 2020 · c•••••• person left · inference
    • ••• Locked
      Jun 26, 2020 · c•••••• person left · inference
    • ••• Locked
      Jun 26, 2020 · c•••••• person joined · fact
    Across DFX
    shared identifiers only, never a name match
    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