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••••••••• G••••• I••••••••• L••••••
Latest filing Sep 28, 2023
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$115M
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
42
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$115M as of Mar 31, 2023
Apr 3, 2012$14B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)42 as of Mar 31, 2023
Mar 28, 201332 then
Private funds1 as of Mar 28, 2013
Apr 3, 20121 then
RAUM n/a over the last fiscal year+75% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $115MderivedRAUM 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
- 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$115M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- 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
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••••••••• G••••• C••••••• F••• L••••••no longer reported | Hedge Fund | $252M | 9 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• A•••• J••• · Non-Executive Directorcontrolsince 07/2000 · owns less than 5%
- G••••••••• K•••••••• M•••• · Co-Chief Executive Officer, Chief Compliance Officer / Company Secretarycontrolsince 11/2001 · owns less than 5%
- H••••••• M••••••• D•••• · Executive Chairmancontrolsince 01/2008 · owns less than 5%
Entity owners
- M••••••••• G•••• H••••••• L•••••• · Sole Shareholderdirect · owns 75% or more
- A•••••• T••••••• L•••••• A• T••••••• O• T•• S•••••••• T•••• · Trusteeindirect · owns F of M••••••••• G•••• H••••••• L••••••
- S•••••••• T•••• · Shareholderindirect · owns 50% to 75% of M••••••••• G•••• H••••••• L••••••
Related persons
Schedule D 7.A
- M••••••••• G••••• A••••••• L••bankn
- M••••••••• G••••• T••••••• S••••••• L••••••bankn
- M••••••••• A•••••••bankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 1.0Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 0 to 12Mar 30, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Mar 30, 2022 to Mar 31, 2023
- Corporate clients · unset to 2.0Mar 30, 2022 to Mar 31, 2023
- Pension plan clients · unset to 14.0Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 4.0Mar 30, 2022 to Mar 31, 2023
- Employees · 41 to 42Mar 30, 2022 to Mar 31, 2023
- Financial planning clients · 0 to unsetMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 114525724.0Mar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Mar 30, 2022 to Mar 31, 2023
- Pension RAUM · unset to 0.0Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 114525724.0Mar 30, 2022 to Mar 31, 2023
- RAUM · unset to 114525724.0Mar 30, 2022 to Mar 31, 2023
- Related bank · false to trueMar 30, 2022 to Mar 31, 2023
- Employees · 38 to 41Mar 25, 2021 to Mar 30, 2022
- Accounts · 1.0 to unsetMar 26, 2020 to Mar 25, 2021
- Pooled vehicle clients · 1.0 to unsetMar 26, 2020 to Mar 25, 2021
- Employees · 46 to 38Mar 26, 2020 to Mar 25, 2021
- Discretionary RAUM · 21376505.0 to unsetMar 26, 2020 to Mar 25, 2021
- Non-discretionary RAUM · 0.0 to unsetMar 26, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · 21376505.0 to unsetMar 26, 2020 to Mar 25, 2021
- RAUM · 21376505.0 to unsetMar 26, 2020 to Mar 25, 2021
- Other offices · 1 to 0Mar 28, 2019 to Mar 26, 2020
- Discretionary RAUM · $23.0M to $21.4MMar 28, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $23.0M to $21.4MMar 28, 2019 to Mar 26, 2020
- RAUM · $23.0M to $21.4MMar 28, 2019 to Mar 26, 2020
- Employees · 41 to 46Mar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $23.6M to $23.0MMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $23.6M to $23.0MMar 28, 2018 to Mar 28, 2019
- RAUM · $23.6M to $23.0MMar 28, 2018 to Mar 28, 2019
- Accounts · 33 to 1Jul 26, 2017 to Mar 28, 2018
- Advisory employees · 11 to 0Jul 26, 2017 to Mar 28, 2018
- Advisory activities · 2 to 1Jul 26, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Jul 26, 2017 to Mar 28, 2018
- Employees · 38 to 41Jul 26, 2017 to Mar 28, 2018
- Other offices · unset to 1.0Jul 26, 2017 to Mar 28, 2018
- Discretionary RAUM · $12B to $23.6MJul 26, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $1.5B to $0Jul 26, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 23568012.0Jul 26, 2017 to Mar 28, 2018
- RAUM · $14B to $23.6MJul 26, 2017 to Mar 28, 2018
Signals
2 dated events
- John Mark Astley (Co-Chief Executive Officer) no longer on Schedule A of M••••••••• G••••• I••••••••• L•••••• (listed 2023-03-31, absent 2023-09-28)Sep 28, 2023 · Control person left · inference
- M••••••••• G••••• I••••••••• L•••••• reported RAUM $23.6M, down 100% from $14.0B (2017-07-26 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.
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