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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M••••••••• I••••••••• M••••••••• L••
Latest filing Jun 27, 2026
First filing on the tape Dec 23, 2011 · 23 filings
SEC status approved since Mar 27, 2006
RAUM
$8.4M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$8.4M as of Jun 27, 2026
Jun 29, 2012$360M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 27, 2026
Jun 29, 20120 then
Employees (5.A)3 as of Jun 27, 2026
Jun 12, 201319 then
Private funds1 as of Jun 27, 2026
Jun 12, 20135 then
RAUM +13% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 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
- $8.4MderivedRAUM 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
- -6.1%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 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$8.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• M••••••••• G••••• E••••••• M•••••• M••••• F•••no longer reported | Other Private Fund | $31.0M | 2 | Jun 12, 2013 |
| T•• B•••••••• M••••• F•••no longer reported | Hedge Fund | $7.5M | 29 | Jun 12, 2013 |
| T•• W••••••• M••••• F••• •••••••• T• A• T•• B•••••••• S••••••••no longer reported | Hedge Fund | $7.0M | 17 | Jun 12, 2013 |
| T•• M••••••••• G••••• M••••• F••• | Hedge Fund | $7.0M | 9 | Jun 12, 2013 |
| T•• A•••••••• F•••no longer reported | Hedge Fund | $2.0M | 1 | Jun 12, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••• P•••• W•••••• · Partner, Chief Executive Officercontrolsince 02/2003 · owns 75% or more
- D•••••• M•••••• F•••••• · Chief Financial Officersince 12/2003 · owns less than 5%
Entity owners
- D••••• I••••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list M••••••••• I••••••••• M••••••••• L•• as a related person
- 161891 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jun 27, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-06-05, no on the filing of 2026-06-27peers: asset managers, under $100M (329)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jun 5, 2025 to Jun 27, 2026
- Discretionary RAUM · $7.6M to $8.4MJun 5, 2025 to Jun 27, 2026
- Pooled vehicle RAUM · $7.6M to $8.4MJun 5, 2025 to Jun 27, 2026
- RAUM · $7.6M to $8.4MJun 5, 2025 to Jun 27, 2026
- Related adviser · true to falseJun 5, 2025 to Jun 27, 2026
- Related bank · true to falseJun 5, 2025 to Jun 27, 2026
- Financial planning clients · unset to May 16, 2024 to Jun 5, 2025
- HQ state · unset to May 16, 2024 to Jun 5, 2025
- Discretionary RAUM · $7.0M to $7.6MMay 16, 2024 to Jun 5, 2025
- Pooled vehicle RAUM · $7.0M to $7.6MMay 16, 2024 to Jun 5, 2025
- RAUM · $7.0M to $7.6MMay 16, 2024 to Jun 5, 2025
- Advisory employees · 4 to 3Jun 26, 2023 to May 16, 2024
- Employees · 4 to 3Jun 26, 2023 to May 16, 2024
- Discretionary RAUM · $7.4M to $7.0MJun 26, 2023 to May 16, 2024
- Pooled vehicle RAUM · $7.4M to $7.0MJun 26, 2023 to May 16, 2024
- RAUM · $7.4M to $7.0MJun 26, 2023 to May 16, 2024
- Advisory employees · 5 to 4Jun 7, 2022 to Jun 26, 2023
- Employees · 5 to 4Jun 7, 2022 to Jun 26, 2023
- Discretionary RAUM · $11.1M to $7.4MJun 7, 2022 to Jun 26, 2023
- Pooled vehicle RAUM · $11.1M to $7.4MJun 7, 2022 to Jun 26, 2023
- RAUM · $11.1M to $7.4MJun 7, 2022 to Jun 26, 2023
- Discretionary RAUM · $12.9M to $11.1MMar 31, 2022 to Jun 7, 2022
- Pooled vehicle RAUM · $12.9M to $11.1MMar 31, 2022 to Jun 7, 2022
- RAUM · $12.9M to $11.1MMar 31, 2022 to Jun 7, 2022
- Accounts · 2 to 1Sep 30, 2019 to Mar 14, 2022
- Charity clients · 1.0 to unsetSep 30, 2019 to Mar 14, 2022
- Pooled vehicle clients · 2 to 1Sep 30, 2019 to Mar 14, 2022
- Private funds · 2 to 1Sep 30, 2019 to Mar 14, 2022
- Discretionary RAUM · $20.8M to $12.9MSep 30, 2019 to Mar 14, 2022
- Pooled vehicle RAUM · $16.7M to $12.9MSep 30, 2019 to Mar 14, 2022
- RAUM · $20.8M to $12.9MSep 30, 2019 to Mar 14, 2022
- Accounts · 3 to 2Jul 18, 2018 to Sep 30, 2019
- Employees · 6 to 5Jul 18, 2018 to Sep 30, 2019
- Accounts · 4 to 3Jan 19, 2018 to Jul 18, 2018
- Advisory employees · 6 to 5Jan 19, 2018 to Jul 18, 2018
- Charity clients · unset to 1.0Jan 19, 2018 to Jul 18, 2018
- Pooled vehicle clients · unset to 2.0Jan 19, 2018 to Jul 18, 2018
- Employees · 9 to 6Jan 19, 2018 to Jul 18, 2018
- Discretionary RAUM · $130M to $20.8MJan 19, 2018 to Jul 18, 2018
- Pooled vehicle RAUM · $125M to $16.7MJan 19, 2018 to Jul 18, 2018
Signals
1 dated events
- M••••••••• I••••••••• M••••••••• L•• reported RAUM $20.8M, down 84% from $129.8M (2018-01-19 to 2018-07-18)Jul 18, 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•••••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44-20-7340-2800reportedpublic record, Form ADV, Jun 27, 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