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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SEC-registered adviser
M••••••••• M••••••••• L•••
Latest filing Mar 20, 2026
First filing on the tape Feb 14, 2012 · 27 filings
SEC status approved since Mar 30, 2012
RAUM
$1.3B
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.3B as of Mar 20, 2026
Feb 19, 2013$11B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Feb 19, 20130 then
Employees (5.A)8 as of Mar 20, 2026
Feb 19, 201312 then
Private funds2 as of Mar 20, 2026
Feb 19, 20132 then
RAUM -5.9% over the last fiscal year-5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; 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
- $653MderivedRAUM 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
- -5.9%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
- $1.3B, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••••• M••••••• O••••••••• M••••• F•••• L••• | Hedge Fund | $1.7B | 10 | Feb 14, 2012 |
| M••••••••• R••••• R•••• M••••• F•••• L•••no longer reported | Hedge Fund | $321M | 25 | Aug 2, 2013 |
| M••••••••• M••••••• V•••• M••••• F•••• L•••no longer reported | Hedge Fund | $180M | 3 | Jul 11, 2012 |
| M••••••••• M••••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $80.8M | 16 | Mar 28, 2018 |
| M••••••••• R••••• R•••• F•••• L••no longer reported | Hedge Fund | $56.5M | 15 | Mar 28, 2018 |
| M••••••••• M••••••• O••••••••• F•••• L••no longer reported | Hedge Fund | $44.0M | 13 | Mar 28, 2018 |
| M••••••••• R••••• R•••• F•••• L•••no longer reported | Hedge Fund | $35.9M | 9 | Mar 28, 2018 |
| M••••••••• M••••••• V•••• F•••• L••no longer reported | Hedge Fund | $34.0M | 3 | Mar 28, 2018 |
| S•••• C••••• C••••• F••• L••••••no longer reported | Hedge Fund | $26.4M | 2 | Jan 26, 2015 |
| M••••••••• M••••••• V•••• F•••• L•••no longer reported | Hedge Fund | $6.1M | 2 | Mar 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••• D•••• · Chief Compliance Officer/Chief Financial Officercontrolsince 02/2016 · owns less than 5%
- N•••••• D•••••• M•••• · L•••••• Partnercontrolsince 11/2001 · owns 75% or more
- N•••••• D•••••• M•••• · Managing Membercontrolsince 10/2001 · owns 75% or more of M••••••••• G•• L••
- G•••••• G••• C•••• · Head Of Operationssince 07/2020 · owns less than 5%
- M••••••••• A•••• •••• · Trusteesince 12/2012 · owns F of N••••• F••••• G•• E••••• T••••
Entity owners
- M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
- N••••• F••••• G•• E••••• T•••• · L•••••• Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- M••••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 2Mar 26, 2025 to Mar 20, 2026
- Assets in custody · $1.7B to $1.3BMar 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $1.4B to $1.3BMar 26, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $1.4B to $1.3BMar 26, 2025 to Mar 20, 2026
- RAUM · $1.4B to $1.3BMar 26, 2025 to Mar 20, 2026
- Related adviser · true to falseMar 26, 2025 to Mar 20, 2026
- Accounts · 3 to 1Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle clients · 1 to 2Mar 27, 2024 to Mar 26, 2025
- Employees · 6 to 8Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Private funds · 1 to 2Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.7B to $1.4BMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.7B to $1.4BMar 27, 2024 to Mar 26, 2025
- RAUM · $1.7B to $1.4BMar 27, 2024 to Mar 26, 2025
- Accounts · 1 to 3Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 4 to 3Mar 29, 2023 to Mar 27, 2024
- Assets in custody · $1.6B to $1.7BMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.6B to $1.7BMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.6B to $1.7BMar 29, 2023 to Mar 27, 2024
- RAUM · $1.6B to $1.7BMar 29, 2023 to Mar 27, 2024
- Related bank · true to falseMar 29, 2023 to Mar 27, 2024
- Accounts · 2 to 1Mar 30, 2022 to Mar 29, 2023
- Pooled vehicle clients · 2 to 1Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $640M to $1.6BMar 30, 2022 to Mar 29, 2023
- Private funds · 2 to 1Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $640M to $1.6BMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $640M to $1.6BMar 30, 2022 to Mar 29, 2023
- RAUM · $640M to $1.6BMar 30, 2022 to Mar 29, 2023
- Accounts · 4 to 2Dec 14, 2021 to Mar 30, 2022
- Advisory employees · 6 to 4Dec 14, 2021 to Mar 30, 2022
- Pooled vehicle clients · 3 to 2Dec 14, 2021 to Mar 30, 2022
- Assets in custody · $1.2B to $640MDec 14, 2021 to Mar 30, 2022
- Employees · 11 to 6Dec 14, 2021 to Mar 30, 2022
- Private funds · 7 to 2Dec 14, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.3B to $640MDec 14, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.3B to $640MDec 14, 2021 to Mar 30, 2022
- RAUM · $1.3B to $640MDec 14, 2021 to Mar 30, 2022
- Other offices · 1 to 0Aug 27, 2021 to Dec 14, 2021
- Accounts · 5 to 4Jul 13, 2020 to Mar 24, 2021
- Advisory employees · 9 to 6Jul 13, 2020 to Mar 24, 2021
Signals
8 dated events
- M••••••••• M••••••••• L••• reported RAUM $1.6B, up 145% from $639.7M (2022-03-30 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- M••••••••• M••••••••• L••• reported RAUM $639.7M, down 51% from $1.3B (2021-12-14 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Joseph Daniel Caffarelli (Chief Compliance Officer & General Counsel) no longer on Schedule A of M••••••••• M••••••••• L••• (listed 2021-08-27, absent 2021-12-14)Dec 14, 2021 · Control person left · inference
- M••••••••• M••••••••• L••• reported RAUM $1.3B, down 89% from $11.9B (2020-07-13 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- Adam David Sherman (Head Of Operations) no longer on Schedule A of M••••••••• M••••••••• L••• (listed 2020-03-29, absent 2020-07-13)Jul 13, 2020 · Control person left · inference
- M••••••••• M••••••••• L••• reported RAUM $11.9B, up 98% from $6.0B (2019-03-27 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- M••••••••• M••••••••• L••• reported RAUM $6.0B, up 34% from $4.5B (2018-03-28 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- M••••••••• M••••••••• L••• reported RAUM $4.5B, down 62% from $11.7B (2017-08-14 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- M•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-300-0500reportedpublic record, Form ADV, Mar 20, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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