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•••••••• F•••• M•••••••••

Former SEC-registered adviserSydney Nsw, CRD 139345SEC 801-66160IAPD
Legal name M•••••••• I••••••••• M••••••••• L••••••
Latest filing Jun 29, 2017
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$1.1B
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
294
87 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.1B as of Jun 29, 2017
Jun 28, 2012$43B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2017
Jun 28, 20120 then
Employees (5.A)294 as of Jun 29, 2017
Jun 27, 2013659 then
Private funds1 as of Jun 30, 2014
Jun 28, 20121 then
RAUM -98% over the last fiscal year-73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
$228MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-98%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a trust company (6.A.8)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••••• A••• P•••••• P•••••• E••••• F••• I• L•no longer reportedPrivate Equity Fund$99.6M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• N•••••••• R••••• · Chief Legal Officercontrol
        since 06/2009 · owns less than 5%
      • B••••• H•••• · Directorcontrol
        since 07/2014 · owns less than 5%
      • D••••• M••••••• R••••• · Directorcontrol
        since 11/2015 · owns less than 5%
      • E••••••• J••• · Directorcontrol
        since 07/2013 · owns less than 5%
      • M•••••• I•• · Directorcontrol
        since 07/2013 · owns less than 5%
      • L••• K••• · Chief Compliance Officer
        since 02/2016 · owns less than 5%
      Entity owners
      • M•••••••• F•••• M••••••••• H•••••• P•• L•• · Direct Owner
        direct · owns 75% or more
      • M•••••••• B••• P•• L•• · Indirect Owner
        indirect · owns 75% or more of Macquarie Bank Limited
      • M•••••••• B••• L•••••• · Indirect Owner
        indirect · owns 75% or more of Macquarie Funds Management Holdings Pty Ltd
      • M•••••••• G•••• L•••••• · Indirect Owner
        indirect · owns 75% or more of Macquarie B.H. Pty Ltd
      Related persons
      Schedule D 7.A
      Advisers that list M•••••••• F•••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Sydney, Australia
      What changed
      consecutive filings, newest first
      • Accounts · 189 to 5
        Jul 25, 2016 to Jun 29, 2017
      • Advisory employees · 431 to 87
        Jul 25, 2016 to Jun 29, 2017
      • Employees · 705 to 294
        Jul 25, 2016 to Jun 29, 2017
      • HQ city · SYDNEY to SYDNEY NSW
        Jul 25, 2016 to Jun 29, 2017
      • Discretionary RAUM · $55B to $1.1B
        Jul 25, 2016 to Jun 29, 2017
      • RAUM · $55B to $1.1B
        Jul 25, 2016 to Jun 29, 2017
      • Accounts · 185 to 189
        Apr 21, 2016 to Jun 29, 2016
      • Advisory employees · 401 to 431
        Apr 21, 2016 to Jun 29, 2016
      • Assets in custody · 2084076069.0 to unset
        Apr 21, 2016 to Jun 29, 2016
      • Custody of client assets · true to false
        Apr 21, 2016 to Jun 29, 2016
      • Employees · 686 to 705
        Apr 21, 2016 to Jun 29, 2016
      • Discretionary RAUM · $51B to $55B
        Apr 21, 2016 to Jun 29, 2016
      • RAUM · $51B to $55B
        Apr 21, 2016 to Jun 29, 2016
      • Accounts · 195 to 185
        Oct 6, 2014 to Jun 29, 2015
      • Advisory employees · 449 to 401
        Oct 6, 2014 to Jun 29, 2015
      • Assets in custody · $3.6B to $2.1B
        Oct 6, 2014 to Jun 29, 2015
      • Employees · 723 to 686
        Oct 6, 2014 to Jun 29, 2015
      • Private funds · 1 to unset
        Oct 6, 2014 to Jun 29, 2015
      • Discretionary RAUM · $59B to $51B
        Oct 6, 2014 to Jun 29, 2015
      • RAUM · $59B to $51B
        Oct 6, 2014 to Jun 29, 2015
      • Accounts · 169 to 195
        Jun 16, 2014 to Jun 30, 2014
      • Advisory employees · 411 to 449
        Jun 16, 2014 to Jun 30, 2014
      • Assets in custody · unset to 3642711248.0
        Jun 16, 2014 to Jun 30, 2014
      • Custody of client assets · false to true
        Jun 16, 2014 to Jun 30, 2014
      • Employees · 659 to 723
        Jun 16, 2014 to Jun 30, 2014
      • Discretionary RAUM · $55B to $59B
        Jun 16, 2014 to Jun 30, 2014
      • RAUM · $55B to $59B
        Jun 16, 2014 to Jun 30, 2014
      • Accounts · 240 to 169
        Jun 28, 2012 to Jun 27, 2013
      • Advisory employees · unset to 411.0
        Jun 28, 2012 to Jun 27, 2013
      • Employees · unset to 659.0
        Jun 28, 2012 to Jun 27, 2013
      • Discretionary RAUM · $40B to $55B
        Jun 28, 2012 to Jun 27, 2013
      • Non-discretionary RAUM · $3.3B to $0
        Jun 28, 2012 to Jun 27, 2013
      • RAUM · $43B to $55B
        Jun 28, 2012 to Jun 27, 2013
      • Accounts · 218 to 240
        Jun 21, 2012 to Jun 28, 2012
      • Discretionary RAUM · $48B to $40B
        Jun 21, 2012 to Jun 28, 2012
      • Non-discretionary RAUM · $3.7B to $3.3B
        Jun 21, 2012 to Jun 28, 2012
      • RAUM · $52B to $43B
        Jun 21, 2012 to Jun 28, 2012
      Signals
      No event on the tape.
      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