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•••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 27, 2012 · 20 filings
SEC status approved since Mar 18, 2008
RAUM
$3.6B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
92%
$3.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
11 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$3.6B as of Mar 24, 2026
Feb 27, 2012$1.3B then
HNW client RAUM$3.4B as of Mar 24, 2026
Mar 29, 2018$1.6B then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Feb 27, 20120 then
Employees (5.A)14 as of Mar 24, 2026
Mar 4, 20138 then
Private funds: no history
RAUM -10% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $39.2MderivedHNW RAUM over HNW clients
- Average account
- $39.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 7.6%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
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.4B92%
- Charitable organizations$276M7.6%
- Individual clients
- 0reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 93reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z•••• C••••••••• J••• · Managing Member And Chief Compliance Officercontrolsince 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 24, 2026RAUM per account of $39,186,443 against a peer median of $813,262 (1333 comparable advisers, 99.0th percentile, 25.9 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 99% percentile
- unusually large average HNW clientStatic outlier · filing Mar 24, 2026HNW RAUM per HNW client of $39,161,456 against a peer median of $3,646,459 (1309 comparable advisers, 99.0th percentile, 17.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,309) · 99% percentile
- low discretionary shareStatic outlier · filing Mar 24, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 76 to 93Mar 19, 2025 to Mar 24, 2026
- Advisory employees · 10 to 11Mar 19, 2025 to Mar 24, 2026
- Charity clients · 6 to 7Mar 19, 2025 to Mar 24, 2026
- HNW clients · 70 to 86Mar 19, 2025 to Mar 24, 2026
- Employees · 13 to 14Mar 19, 2025 to Mar 24, 2026
- HNW RAUM · $3.8B to $3.4BMar 19, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $4.1B to $3.6BMar 19, 2025 to Mar 24, 2026
- RAUM · $4.1B to $3.6BMar 19, 2025 to Mar 24, 2026
- Accounts · 75 to 76Mar 22, 2024 to Mar 19, 2025
- Charity clients · 5 to 6Mar 22, 2024 to Mar 19, 2025
- Financial planning clients · 51-100 to 51-100Mar 22, 2024 to Mar 19, 2025
- HNW RAUM · $3.4B to $3.8BMar 22, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $3.6B to $4.1BMar 22, 2024 to Mar 19, 2025
- RAUM · $3.6B to $4.1BMar 22, 2024 to Mar 19, 2025
- Accounts · 78 to 75Nov 1, 2023 to Mar 22, 2024
- Charity clients · 6 to 5Nov 1, 2023 to Mar 22, 2024
- HNW clients · 72 to 70Nov 1, 2023 to Mar 22, 2024
- Employees · 15 to 13Nov 1, 2023 to Mar 22, 2024
- HNW RAUM · $2.7B to $3.4BNov 1, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $2.9B to $3.6BNov 1, 2023 to Mar 22, 2024
- RAUM · $2.9B to $3.6BNov 1, 2023 to Mar 22, 2024
- Accounts · 75 to 78Mar 25, 2022 to Mar 28, 2023
- Advisory employees · 9 to 10Mar 25, 2022 to Mar 28, 2023
- Charity clients · 7 to 6Mar 25, 2022 to Mar 28, 2023
- HNW clients · 68 to 72Mar 25, 2022 to Mar 28, 2023
- Employees · 14 to 15Mar 25, 2022 to Mar 28, 2023
- HNW RAUM · $2.9B to $2.7BMar 25, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $3.2B to $2.9BMar 25, 2022 to Mar 28, 2023
- RAUM · $3.2B to $2.9BMar 25, 2022 to Mar 28, 2023
- Accounts · 66 to 75Oct 14, 2021 to Mar 25, 2022
- Advisory employees · 11 to 9Oct 14, 2021 to Mar 25, 2022
- Charity clients · 6 to 7Oct 14, 2021 to Mar 25, 2022
- HNW clients · 60 to 68Oct 14, 2021 to Mar 25, 2022
- Employees · 15 to 14Oct 14, 2021 to Mar 25, 2022
- HNW RAUM · $2.8B to $2.9BOct 14, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $3.2B to $3.2BOct 14, 2021 to Mar 25, 2022
- RAUM · $3.2B to $3.2BOct 14, 2021 to Mar 25, 2022
- Accounts · 67 to 66Oct 23, 2020 to Mar 29, 2021
- Advisory employees · 9 to 11Oct 23, 2020 to Mar 29, 2021
- Charity clients · 7 to 6Oct 23, 2020 to Mar 29, 2021
Signals
2 dated events
- M•••••• L•• reported RAUM $3.6B, up 26% from $2.9B (2023-11-01 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- M•••••• L•• reported RAUM $3.3B, up 74% from $1.9B (2019-03-28 to 2020-03-12)Mar 12, 2020 · 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
- Business phone
- 310-247-9657reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••-LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-247-9657reportedpublic record, Form ADV, Mar 24, 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
- Independent wealth managerderiveda 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