DFX Intelligence

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SEC-registered adviser

M••••••••• S••••••••• L••

Asset manager (funds and pooled vehicles)Red Bank, New JerseyCRD 147298SEC 801-71128IAPD

Latest filing Mar 31, 2026

First filing on the tape Mar 26, 2012 · 40 filings

SEC status approved since Feb 26, 2010

RAUM

$141M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

40 filings and snapshots on the tape

RAUM$141M as of Mar 31, 2026

Mar 31, 2015$1.2B then

HNW client RAUM$0 as of Mar 31, 2026

Mar 28, 2018$0 then

State-registered IARs (5.B.3)2 as of Mar 31, 2026

Mar 26, 20120 then

Employees (5.A)6 as of Mar 31, 2026

Apr 12, 20133 then

Private funds: no history

RAUM n/a over the last fiscal year-16% a year over three

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

RAUM per advisor: $70.3MderivedRAUM 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: $141MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for investment companies, 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)
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

Investment companies$141M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

R••••• J••••• C••••••••• to M•••••• W••••• M•••••••••
Feb 19, 2015 · Other

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••••• D•••••• R••••• · Chief Executive Officer, Cco And Treasurercontrol
since 11/2013 · owns less than 5%
S••••••••• D•••••• R••••• · Sole Ownercontrol
since 06/2023 · owns 75% or more of W•• H•••••• I•••

Entity owners

W•• T••• H•••••••• L•• · Member
direct · owns 75% or more
W•• H•••••• I••• · Sole Owner
indirect · owns 75% or more of W•• T••• H•••••••• L••

Related persons

Schedule D 7.A

H••••••••• G••••• L••
investment adviserreal estaten
W•• I••••••••• L••
investment adviserreal estatenRAUM $540M

Advisers that list M••••••••• S••••••••• L•• as a related person

106336 n
150897 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $169M to $141M
May 30, 2025 to Mar 31, 2026
RAUM · $169M to $141M
May 30, 2025 to Mar 31, 2026
Accounts · 4 to 1
Jul 8, 2024 to May 30, 2025
Employees · 8 to 6
Jul 8, 2024 to May 30, 2025
Insurance-licensed employees · 4 to 2
Jul 8, 2024 to May 30, 2025
Financial planning clients · unset to
Jul 8, 2024 to May 30, 2025
Discretionary RAUM · $188M to $169M
Jul 8, 2024 to May 30, 2025
RAUM · $188M to $169M
Jul 8, 2024 to May 30, 2025
Accounts · 1 to 4
Sep 27, 2023 to Feb 28, 2024
Discretionary RAUM · $233M to $188M
Sep 27, 2023 to Feb 28, 2024
RAUM · $233M to $188M
Sep 27, 2023 to Feb 28, 2024
Business name · M••••••••• S••••••••• I••• to M••••••••• S••••••••• L••
Jun 1, 2023 to Sep 27, 2023
Legal name · M••••••••• S••••••••• I••• to M••••••••• S••••••••• L••
Jun 1, 2023 to Sep 27, 2023
Organization form · Corporation to Limited Liability Company
Jun 1, 2023 to Sep 27, 2023
Succession · true to false
Jun 1, 2023 to Sep 27, 2023
Succession · false to true
Mar 31, 2023 to Jun 1, 2023
Employees · 9 to 8
Mar 28, 2022 to Mar 31, 2023
Insurance-licensed employees · 5 to 4
Mar 28, 2022 to Mar 31, 2023
State-registered IARs · 3 to 2
Mar 28, 2022 to Mar 31, 2023
Discretionary RAUM · $282M to $233M
Mar 28, 2022 to Mar 31, 2023
RAUM · $282M to $233M
Mar 28, 2022 to Mar 31, 2023
Accounts · 8 to 1
Jun 28, 2021 to Mar 28, 2022
Advisory employees · 3 to 4
Jun 28, 2021 to Mar 28, 2022
BD registered reps · 15 to 0
Jun 28, 2021 to Mar 28, 2022
Employees · 21 to 9
Jun 28, 2021 to Mar 28, 2022
Insurance-licensed employees · 6 to 5
Jun 28, 2021 to Mar 28, 2022
State-registered IARs · 0 to 3
Jun 28, 2021 to Mar 28, 2022
Discretionary RAUM · $320M to $282M
Jun 28, 2021 to Mar 28, 2022
RAUM · $320M to $282M
Jun 28, 2021 to Mar 28, 2022
Accounts · 10 to 8
Dec 22, 2020 to Mar 31, 2021
Advisory employees · 5 to 3
Dec 22, 2020 to Mar 31, 2021
BD registered reps · 13 to 15
Dec 22, 2020 to Mar 31, 2021
Other offices · 1 to 0
Dec 22, 2020 to Mar 31, 2021
Discretionary RAUM · $496M to $320M
Dec 22, 2020 to Mar 31, 2021
RAUM · $496M to $320M
Dec 22, 2020 to Mar 31, 2021
Accounts · 12 to 10
Sep 18, 2019 to Mar 30, 2020
BD registered reps · 17 to 13
Sep 18, 2019 to Mar 30, 2020
Employees · 26 to 21
Sep 18, 2019 to Mar 30, 2020
Insurance-licensed employees · 8 to 6
Sep 18, 2019 to Mar 30, 2020
Discretionary RAUM · $782M to $496M
Sep 18, 2019 to Mar 30, 2020

Signals

16 dated events

Joseph Robert Confessore (President) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2024-02-28, absent 2024-07-08)
Jul 8, 2024 · Control person left · inference
Nicole Dina Schindler (Chief Compliance Officer) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2024-02-28, absent 2024-07-08)
Jul 8, 2024 · Control person left · inference
Kevin Murphy (Chief Compliance Officer And General Counsel) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2023-06-01, absent 2023-09-27)
Sep 27, 2023 · Control person left · inference
Nicole Dina Schindler (Chief Compliance Officer) appeared on Schedule A of M••••••••• S••••••••• L••
Sep 27, 2023 · Control person joined · fact
Joseph Robert Confessore (President) appeared on Schedule A of M••••••••• S••••••••• L••
Sep 27, 2023 · Control person joined · fact
M••••••••• S••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jun 1, 2023 · Succession (Item 4) · fact
Robert Confessore (President) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2022-03-28, absent 2023-03-31)
Mar 31, 2023 · Control person left · inference
Leo John Decker (Head Of Trading) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2022-03-28, absent 2023-03-31)
Mar 31, 2023 · Control person left · inference
Scott Frederick Kreitz (Chief Operating Officer) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2022-03-28, absent 2023-03-31)
Mar 31, 2023 · Control person left · inference
M••••••••• S••••••••• L•• reported RAUM $319.5M, down 36% from $495.8M (2020-12-22 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
Alyson Renee Kest (Chief Compliance Officer, Amlco And Counsel) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2020-10-05, absent 2020-12-22)
Dec 22, 2020 · Control person left · inference
Kevin Murphy (Chief Compliance Officer And General Counsel) appeared on Schedule A of M••••••••• S••••••••• L••
Dec 22, 2020 · Control person joined · fact
M••••••••• S••••••••• L•• reported RAUM $495.8M, down 37% from $781.6M (2019-09-18 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
Matthew Bromberg (General Counsel) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2019-03-13, absent 2019-09-18)
Sep 18, 2019 · Control person left · inference
Steven A Van Solkema (Chief Operating Officer) no longer on Schedule A of M••••••••• S••••••••• L•• (listed 2018-07-17, absent 2019-03-13)
Mar 13, 2019 · Control person left · inference
Scott Frederick Kreitz (Chief Operating Officer) appeared on Schedule A of M••••••••• S••••••••• L••
Mar 13, 2019 · Control person joined · fact

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

Principal office phone: 732-842-4920reportedpublic record, Form ADV, Mar 31, 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