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••••• A•••••••• L••

Former SEC-registered adviserNeedham, MassachusettsCRD 144644SEC 801-68202IAPD
Latest filing Mar 23, 2022
First filing on the tape Mar 28, 2012 · 20 filings
RAUM
$147M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
33%
$48.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$84.0M gross assets
History
20 filings and snapshots on the tape
RAUM$147M as of Mar 23, 2022
Mar 28, 2012$117M then
HNW client RAUM$48.1M as of Mar 23, 2022
Mar 31, 2021$39.5M then
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Mar 28, 20120 then
Employees (5.A)5 as of Mar 23, 2022
Mar 25, 20133 then
Private funds2 as of Mar 23, 2022
Mar 28, 20122 then
RAUM -1.9% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2022; 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
$48.1MderivedHNW RAUM over HNW clients
Average account
$36.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
10%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
-1.9%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$83.9M, 2 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$83.9M57%
  • High-net-worth individuals$48.1M33%
  • Charitable organizations$15.2M10%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$83.9M for 2 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••• A••••••• 2•••• L•••no longer reportedPrivate Equity Fund$52.8M10Mar 28, 2012
      M••••• A••••••• 2••• C••••••••• F•••• L•••Private Equity Fund$44.8M2Mar 31, 2021
      M••••• A••••••• 2••• C••••••••• F•••• L•••Private Equity Fund$39.2M3Mar 31, 2021
      M••••• A••••••• 2•••• L•••no longer reportedPrivate Equity Fund$37.4M9Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• E•••• W•••••• · Managing Member And Chief Compliance Officercontrol
        since 06/2007 · owns 10% to 25%
      • W••••• C••••••••• P••• · Managing Membercontrol
        since 06/2007 · owns 75% or more
      Related persons
      Schedule D 7.A
      • M••••• P••••••• C•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • West Palm Beach, FL1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $97.8M to $83.9M
        Jan 4, 2022 to Mar 23, 2022
      • Discretionary RAUM · $97.8M to $83.9M
        Jan 4, 2022 to Mar 23, 2022
      • HNW RAUM · $39.5M to $48.1M
        Jan 4, 2022 to Mar 23, 2022
      • Non-discretionary RAUM · $52.3M to $63.3M
        Jan 4, 2022 to Mar 23, 2022
      • Pooled vehicle RAUM · $97.8M to $83.9M
        Jan 4, 2022 to Mar 23, 2022
      • RAUM · $150M to $147M
        Jan 4, 2022 to Mar 23, 2022
      • HQ city · BOSTON to NEEDHAM
        Jun 16, 2021 to Jan 4, 2022
      • Accounts · 2 to 4
        Oct 15, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 5
        Oct 15, 2020 to Mar 31, 2021
      • Advisory activities · 1 to 3
        Oct 15, 2020 to Mar 31, 2021
      • Charity clients · unset to 1.0
        Oct 15, 2020 to Mar 31, 2021
      • HNW clients · unset to 1.0
        Oct 15, 2020 to Mar 31, 2021
      • Assets in custody · $90.2M to $97.8M
        Oct 15, 2020 to Mar 31, 2021
      • Employees · 3 to 5
        Oct 15, 2020 to Mar 31, 2021
      • Discretionary RAUM · $90.2M to $97.8M
        Oct 15, 2020 to Mar 31, 2021
      • HNW RAUM · unset to 39500000.0
        Oct 15, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $0 to $52.3M
        Oct 15, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $90.2M to $97.8M
        Oct 15, 2020 to Mar 31, 2021
      • RAUM · $90.2M to $150M
        Oct 15, 2020 to Mar 31, 2021
      • Assets in custody · $95.7M to $90.2M
        Jul 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $95.7M to $90.2M
        Jul 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $95.7M to $90.2M
        Jul 31, 2019 to Mar 30, 2020
      • RAUM · $95.7M to $90.2M
        Jul 31, 2019 to Mar 30, 2020
      • Other offices · 0 to 1
        Mar 12, 2019 to Jul 31, 2019
      • Assets in custody · $98.4M to $95.7M
        Sep 4, 2018 to Mar 12, 2019
      • Discretionary RAUM · $98.4M to $95.7M
        Sep 4, 2018 to Mar 12, 2019
      • Pooled vehicle RAUM · $98.4M to $95.7M
        Sep 4, 2018 to Mar 12, 2019
      • RAUM · $98.4M to $95.7M
        Sep 4, 2018 to Mar 12, 2019
      • Advisory employees · 5 to 3
        Mar 21, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 21, 2017 to Mar 28, 2018
      • Assets in custody · $103M to $98.4M
        Mar 21, 2017 to Mar 28, 2018
      • Employees · 5 to 3
        Mar 21, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 28, 2018
      • Discretionary RAUM · $103M to $98.4M
        Mar 21, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 98400000.0
        Mar 21, 2017 to Mar 28, 2018
      • RAUM · $103M to $98.4M
        Mar 21, 2017 to Mar 28, 2018
      • Advisory employees · 2 to 5
        Mar 25, 2016 to Mar 21, 2017
      • Assets in custody · $118M to $103M
        Mar 25, 2016 to Mar 21, 2017
      • Employees · 2 to 5
        Mar 25, 2016 to Mar 21, 2017
      • Discretionary RAUM · $118M to $103M
        Mar 25, 2016 to Mar 21, 2017
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      M•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 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
      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