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•• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 146110SEC 801-70516websiteIAPD
Latest filing Jul 30, 2026
First filing on the tape Dec 9, 2011 · 53 filings
SEC status approved since Sep 3, 2009
RAUM
$131M
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$131M as of Jul 30, 2026
Mar 29, 2012$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 29, 20120 then
Employees (5.A)13 as of Jul 30, 2026
Mar 28, 201314 then
Private funds1 as of Jul 30, 2026
Mar 29, 20124 then
RAUM -49% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 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
$131MderivedRAUM 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
-49%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 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$131M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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=true related_bank=true 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
      Every departureEvery arrival
      Private funds
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$747M0Mar 29, 2012
      M•• G•• C•• 2•••••Securitized Asset Fund$469M0Mar 30, 2016
      G••••• C•••• F••••••• L•••no longer reportedSecuritized Asset Fund$239M0Mar 29, 2012
      E•• C•• 2•••••••••no longer reportedSecuritized Asset Fund$238M0Mar 31, 2014
      E•• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$206M0Jul 27, 2012
      E•• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$186M0Jul 27, 2012
      C••••••• F••••••• L•••no longer reportedSecuritized Asset Fund$139M0Mar 29, 2012
      C••••••••• F••••••• L•••no longer reportedSecuritized Asset Fund$81.4M0Mar 29, 2012
      M•• G•• C•• 2•••••no longer reportedSecuritized Asset Fund$468,8620Mar 31, 2015
      S••••••••• C•• L•••Securitized Asset Fund$243,3320Mar 31, 2014
      G•• O•• H••• C•• 2•••••• L••no longer reportedSecuritized Asset Fund$20,8860Mar 30, 2016
      S••••• S••••• C•• L•••no longer reportedSecuritized Asset Fund$9960Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• G••••••• C••• · Presidentcontrol
        since 09/2023 · owns less than 5%
      • D•••••• B••••• P•••••• · Chief Compliance Officercontrol
        since 03/2024 · owns less than 5%
      • L• G•••• N•••••• N•• · Head Of Compliance Ame•••Ascontrol
        since 10/2016 · owns less than 5%
      • B•••• E•••• G•••• · Head Of Discretionary
        since 03/2024 · owns less than 5%
      • L••••• N••••• E•••• · Secretary
        since 12/2024 · owns less than 5%
      Entity owners
      • M•• I••••••••• H••••••• I••• · Sole Member
        direct · owns 75% or more
      • M•• G•••• P•• · Shareholder
        indirect · owns 75% or more of M•• G•••• T••••••• L••••••
      • M•• G•••• T••••••• L•••••• · Shareholder
        indirect · owns 75% or more of M•• W•••••••• O••••••••• M••••••••• L••••••
      • M•• I••••••••• U•• H••••••• I••• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• H••••••• I•••
      • M•• W•••••••• O••••••••• M••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• U•• H••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list M•• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • RAUM down 25 %Change between filings · filing Apr 28, 2026
        RAUM (Item 5.F) moved from $256,620,285 to $130,817,886 (-49.0%) between the annual amendments of 2025-03-28 and 2026-04-28; the peer median change was +4.0% (1148 comparable advisers, 3.0th percentile of changes)
        peers: asset managers, $100M to $500M (1,148) · 3.4% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $110M to $131M
        Mar 31, 2026 to Apr 28, 2026
      • Pooled vehicle RAUM · $110M to $131M
        Mar 31, 2026 to Apr 28, 2026
      • RAUM · $110M to $131M
        Mar 31, 2026 to Apr 28, 2026
      • Advisory employees · 10 to 8
        Jan 28, 2026 to Mar 31, 2026
      • BD registered reps · 1 to 0
        Jan 28, 2026 to Mar 31, 2026
      • Employees · 15 to 13
        Jan 28, 2026 to Mar 31, 2026
      • Discretionary RAUM · $257M to $110M
        Jan 28, 2026 to Mar 31, 2026
      • Pooled vehicle RAUM · $257M to $110M
        Jan 28, 2026 to Mar 31, 2026
      • RAUM · $257M to $110M
        Jan 28, 2026 to Mar 31, 2026
      • Business name · S••••••••• C•••••• M••••••••• to M•• C•••••• M••••••••• L••
        Oct 14, 2025 to Jan 28, 2026
      • Legal name · S••••••••• C•••••• M••••••••• L•• to M•• C•••••• M••••••••• L••
        Oct 14, 2025 to Jan 28, 2026
      • Financial planning clients · 0 to 0
        Mar 28, 2025 to Oct 14, 2025
      • Accounts · 2 to 1
        Dec 19, 2024 to Mar 28, 2025
      • Advisory employees · 8 to 10
        Dec 19, 2024 to Mar 28, 2025
      • Pooled vehicle clients · 2 to 1
        Dec 19, 2024 to Mar 28, 2025
      • Private funds · 2 to 1
        Dec 19, 2024 to Mar 28, 2025
      • Discretionary RAUM · $470M to $257M
        Dec 19, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $470M to $257M
        Dec 19, 2024 to Mar 28, 2025
      • RAUM · $470M to $257M
        Dec 19, 2024 to Mar 28, 2025
      • Accounts · 3 to 2
        Jan 23, 2024 to Mar 28, 2024
      • Advisory employees · 7 to 8
        Jan 23, 2024 to Mar 28, 2024
      • Pooled vehicle clients · 3 to 2
        Jan 23, 2024 to Mar 28, 2024
      • Employees · 12 to 15
        Jan 23, 2024 to Mar 28, 2024
      • Discretionary RAUM · $543M to $470M
        Jan 23, 2024 to Mar 28, 2024
      • Pooled vehicle RAUM · $543M to $470M
        Jan 23, 2024 to Mar 28, 2024
      • RAUM · $543M to $470M
        Jan 23, 2024 to Mar 28, 2024
      • Private funds · 3 to 2
        Sep 26, 2023 to Jan 23, 2024
      • Accounts · 5 to 3
        Jan 11, 2023 to Mar 31, 2023
      • Advisory employees · 8 to 7
        Jan 11, 2023 to Mar 31, 2023
      • Pooled vehicle clients · 5 to 3
        Jan 11, 2023 to Mar 31, 2023
      • Employees · 13 to 12
        Jan 11, 2023 to Mar 31, 2023
      • Private funds · 5 to 3
        Jan 11, 2023 to Mar 31, 2023
      • Discretionary RAUM · $585M to $543M
        Jan 11, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $585M to $543M
        Jan 11, 2023 to Mar 31, 2023
      • RAUM · $585M to $543M
        Jan 11, 2023 to Mar 31, 2023
      • Advisory employees · 7 to 8
        May 6, 2021 to Mar 31, 2022
      • Employees · 12 to 13
        May 6, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.4B to $585M
        May 6, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.4B to $585M
        May 6, 2021 to Mar 31, 2022
      • RAUM · $1.4B to $585M
        May 6, 2021 to Mar 31, 2022
      Signals
      21 dated events
      • M•• C•••••• M••••••••• L•• reported RAUM $110.0M, down 57% from $256.6M (2026-01-28 to 2026-03-31)
        Mar 31, 2026 · RAUM change · derived
      • M•• C•••••• M••••••••• L•• reported RAUM $256.6M, down 45% from $469.6M (2024-12-19 to 2025-03-28)
        Mar 28, 2025 · RAUM change · derived
      • Edmund Solomon Kuckelman (Secretary) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2024-10-28, absent 2024-12-19)
        Dec 19, 2024 · Control person left · inference
      • Nmn Jens Foehrenbach (Vice President) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2024-10-28, absent 2024-12-19)
        Dec 19, 2024 · Control person left · inference
      • James Andrew Craven (Chief Compliance Officer) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2024-01-23, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Patrick Brian Doohan (Chief Compliance Officer) appeared on Schedule A of M•• C•••••• M••••••••• L••
        Mar 28, 2024 · Control person joined · fact
      • Nmn Jens Foehrenbach (Vice President) appeared on Schedule A of M•• C•••••• M••••••••• L••
        Mar 28, 2024 · Control person joined · fact
      • Carl Gregory Bond (President) appeared on Schedule A of M•• C•••••• M••••••••• L••
        Sep 26, 2023 · Control person joined · fact
      • Robyn Michelle Grew (President) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2023-03-31, absent 2023-09-26)
        Sep 26, 2023 · Control person left · inference
      • Robyn Michelle Grew (President) appeared on Schedule A of M•• C•••••• M••••••••• L••
        Jan 11, 2023 · Control person joined · fact
      • Armstrong Shanta Puchtler (President) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2022-11-04, absent 2023-01-11)
        Jan 11, 2023 · Control person left · inference
      • M•• C•••••• M••••••••• L•• reported RAUM $584.7M, down 59% from $1.4B (2021-05-06 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Galip Eric Burl (President) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2020-03-27, absent 2021-01-22)
        Jan 22, 2021 · Control person left · inference
      • Armstrong Shanta Puchtler (President) appeared on Schedule A of M•• C•••••• M••••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Steven George Kalin (Co-Head Of Leveraged Credit) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2019-10-04, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • James Andrew Craven (Chief Compliance Officer) appeared on Schedule A of M•• C•••••• M••••••••• L••
        Jan 23, 2020 · Control person joined · fact
      • Fredrich Richard Kurth (Co-Head Of Leveraged Credit) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2019-10-04, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • Patrick Brian Doohan (Chief Compliance Officer) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2019-10-04, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • Richard Robert Hanna (Vice President) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2019-08-23, absent 2019-10-04)
        Oct 4, 2019 · Control person left · inference
      • Anselm David Gallias (Treasurer) no longer on Schedule A of M•• C•••••• M••••••••• L•• (listed 2019-06-03, absent 2019-08-23)
        Aug 23, 2019 · Control person left · inference
      • M•• C•••••• M••••••••• L•• reported RAUM $1.8B, down 36% from $2.8B (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · 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
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-649-6600reportedpublic record, Form ADV, Jul 30, 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