DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
M••••• A•••• M••••••••• L••
Latest filing Apr 29, 2015
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$69.7M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$10.9M gross assets
History
5 filings and snapshots on the tape
RAUM$68.9M as of Mar 27, 2015
Mar 30, 2012$84.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 30, 20120 then
Employees (5.A)3 as of Mar 27, 2015
Mar 28, 20132 then
Private funds2 as of Mar 27, 2015
Mar 30, 20121 then
RAUM -36% over the last fiscal year-6.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 2015; 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
- $23.2MderivedRAUM 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
- -36%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• P•••••••• L• | Hedge Fund | $7.9M | 13 | Mar 30, 2012 |
| M••••• A••••• M•••••••• S••••••• L• | Hedge Fund | $3.0M | 3 | Mar 27, 2015 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• R•••••• R•••••• · Managing Membercontrolsince 01/2007 · owns 75% or more
- M•••••• S••••• E••••• · Member, Chief Operating Officercontrolsince 03/2008 · owns less than 5%
- G••••••••• L•••• M•••• · Chief Compliance Officersince 04/2011 · owns less than 5%
Related persons
Schedule D 7.A
- M••••• H•••••••• L••pooled vehicle sponsorn
- N•• H••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $68.9M to $69.7MMar 27, 2015 to Apr 29, 2015
- RAUM · $68.9M to $69.7MMar 27, 2015 to Apr 29, 2015
- Accounts · 2 to 3Mar 28, 2014 to Mar 27, 2015
- Private funds · 1 to 2Mar 28, 2014 to Mar 27, 2015
- Discretionary RAUM · $108M to $68.9MMar 28, 2014 to Mar 27, 2015
- RAUM · $108M to $68.9MMar 28, 2014 to Mar 27, 2015
- Advisory employees · 1 to 2Mar 28, 2013 to Mar 28, 2014
- Assets in custody · $15.1M to $0Mar 28, 2013 to Mar 28, 2014
- Employees · 2 to 3Mar 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $94.6M to $108MMar 28, 2013 to Mar 28, 2014
- RAUM · $94.6M to $108MMar 28, 2013 to Mar 28, 2014
- Advisory employees · unset to 1.0Mar 30, 2012 to Mar 28, 2013
- Assets in custody · $14.7M to $15.1MMar 30, 2012 to Mar 28, 2013
- Employees · unset to 2.0Mar 30, 2012 to Mar 28, 2013
- Discretionary RAUM · $84.8M to $94.6MMar 30, 2012 to Mar 28, 2013
- RAUM · $84.8M to $94.6MMar 30, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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