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••••••• R••••••••• L••
Latest filing May 20, 2026
First filing on the tape Mar 23, 2020 · 18 filings
SEC status approved since Mar 8, 2002
RAUM
$8.7B
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
59
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$8.7B as of May 20, 2026
Mar 30, 2020$5.6B then
HNW client RAUM$0 as of May 20, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of May 20, 2026
Mar 30, 20200 then
Employees (5.A)59 as of May 20, 2026
Mar 30, 202055 then
Private funds4 as of May 20, 2026
Mar 30, 20203 then
RAUM -3.3% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $963MderivedRAUM 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
- -3.3%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
- financial planning, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Custody
- $430M, 6 clientsreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$8.4B97%
- Pooled investment vehicles$252M2.9%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $430M for 6 clientsreported
- 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=6.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• R••••••• O••••••••• T•••••• L•• | Hedge Fund | $153M | 20 | Apr 28, 2022 |
| M••••••• M•• P••••••• L• | Hedge Fund | $91.5M | 26 | Mar 28, 2012 |
| G••••• P••• F••• • M••••••• R••••••• O•••• M••••• F••• •••• L••• | Hedge Fund | $89.9M | 1 | Mar 27, 2023 |
| M••••••• S••••• S••••••••• L• | Hedge Fund | $42.9M | 15 | Mar 28, 2012 |
| M••••••• E••••• P••••••• L•• | Other Private Fund | $31.0M | 22 | Mar 28, 2012 |
| M••••••• R••••••• O••••••••• F••• L•no longer reported | Hedge Fund | $7.7M | 6 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• H••••• · Chairmancontrolsince 06/1978 · owns 25% to 50%
- B••••••••• G•••• R•••••• · Cfo & Finop, Broker Dealercontrolsince 04/2020 · owns 5% to 10%
- C••••••• C•••• T••• · Trustee And Beneficiary, C•••••• M•••••• Trustcontrolsince 04/2020 · owns less than 5%
- F•••••• H•••••• S•••• · Trustee, C•••••• M•••••• Trustcontrolsince 04/2020 · owns less than 5%
- F••••••••• S••••• M••• · General Counsel/ Cco/ Ceo Of The Broker Dealercontrolsince 01/2004 · owns less than 5%
- F••••••••• M••• B•••• · Senior Vice Presidentcontrolsince 01/2006 · owns less than 5%
- G••••••• B•••• A••• · Co-Chief Executive Officer, Executive Director Of T••••••controlsince 11/2015 · owns 10% to 25%
- N•••••• J••••• L••••• · Trustee, R•••••••• Q••• Trustcontrolsince 05/2014 · owns less than 5%
- S••••• G•••• N••••• · Co-Chief Executive Officer, Chief Investment Officercontrolsince 11/2015 · owns 10% to 25%
- S••••••••• S•••••••• D••• · Trustee, C•••••• M•••••• Trustcontrolsince 04/2020 · owns less than 5%
- W•• I••• · Chief Financial Officercontrolsince 02/2020 · owns less than 5%
Entity owners
- M•••••• T•••• U•••• A•••••• S•••• O• T•• L••• W••• A•• T•••••••• O• G••••• E• C•••••• · Shareholderdirect · owns 25% to 50%
- R•••••••• Q••• T•••• E••••••••• U•••• T•• D••••• B•••••• N••••• R•••••••• T•••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- M••••••• A•••• M••••••••• L•••investment advisern
- M••••••• I••••••••• ••••••• L••broker-dealern
- S••••••• Q••••••• A•••• M••••••••• C••• L•••banky
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 9Apr 30, 2025 to Mar 26, 2026
- Advisory employees · 23 to 25Apr 30, 2025 to Mar 26, 2026
- BD registered reps · 5 to 6Apr 30, 2025 to Mar 26, 2026
- Pooled vehicle clients · 11 to 6Apr 30, 2025 to Mar 26, 2026
- Assets in custody · $418M to $430MApr 30, 2025 to Mar 26, 2026
- Employees · 56 to 59Apr 30, 2025 to Mar 26, 2026
- Private funds · 5 to 4Apr 30, 2025 to Mar 26, 2026
- Discretionary RAUM · $9.0B to $8.7BApr 30, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $905M to $252MApr 30, 2025 to Mar 26, 2026
- RAUM · $9.0B to $8.7BApr 30, 2025 to Mar 26, 2026
- Accounts · 11 to 14Mar 4, 2025 to Apr 30, 2025
- Advisory employees · 22 to 23Mar 4, 2025 to Apr 30, 2025
- Pooled vehicle clients · 8 to 11Mar 4, 2025 to Apr 30, 2025
- Assets in custody · $401M to $418MMar 4, 2025 to Apr 30, 2025
- Employees · 54 to 56Mar 4, 2025 to Apr 30, 2025
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to Apr 30, 2025
- Discretionary RAUM · $6.8B to $9.0BMar 4, 2025 to Apr 30, 2025
- Pooled vehicle RAUM · $560M to $905MMar 4, 2025 to Apr 30, 2025
- RAUM · $6.8B to $9.0BMar 4, 2025 to Apr 30, 2025
- Succession · true to falseMar 4, 2025 to Apr 30, 2025
- Business name · M••••••• R••••••••• C••••••••• to M••••••• R••••••••• L••Sep 9, 2024 to Mar 4, 2025
- Legal name · M••••••• R••••••••• C••••••••• to M••••••• R••••••••• L••Sep 9, 2024 to Mar 4, 2025
- Organization form · Corporation to Limited Liability CompanySep 9, 2024 to Mar 4, 2025
- Succession · false to trueSep 9, 2024 to Mar 4, 2025
- Accounts · 13 to 11May 1, 2023 to Mar 25, 2024
- Advisory employees · 20 to 22May 1, 2023 to Mar 25, 2024
- BD registered reps · 3 to 5May 1, 2023 to Mar 25, 2024
- Pooled vehicle clients · 10 to 8May 1, 2023 to Mar 25, 2024
- Assets in custody · $380M to $401MMay 1, 2023 to Mar 25, 2024
- Employees · 55 to 54May 1, 2023 to Mar 25, 2024
- Discretionary RAUM · $6.2B to $6.8BMay 1, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $611M to $560MMay 1, 2023 to Mar 25, 2024
- RAUM · $6.2B to $6.8BMay 1, 2023 to Mar 25, 2024
- Related adviser · false to trueMay 1, 2023 to Mar 25, 2024
- Accounts · 11 to 13Apr 28, 2022 to Mar 27, 2023
- Advisory employees · 18 to 20Apr 28, 2022 to Mar 27, 2023
- Pooled vehicle clients · 8 to 10Apr 28, 2022 to Mar 27, 2023
- Assets in custody · $468M to $380MApr 28, 2022 to Mar 27, 2023
- Employees · 51 to 55Apr 28, 2022 to Mar 27, 2023
- Private funds · 4 to 5Apr 28, 2022 to Mar 27, 2023
Signals
15 dated events
- M••••••• R••••••••• L•• reported RAUM $9.0B, up 31% from $6.8B (2025-03-04 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- M••••••• R••••••••• L•• reported succeeding to the business of M••••••• R••••••••• C••••••••• (Form ADV Item 4)Mar 4, 2025 · Succession (Item 4) · fact
- Bryon Harold Lyons (Ceo & Cco, Broker Dealer) no longer on Schedule A of M••••••• R••••••••• L•• (listed 2024-03-25, absent 2024-09-09)Sep 9, 2024 · Control person left · inference
- M••••••• R••••••••• L•• reported RAUM $6.2B, up 74% from $3.6B (2022-04-28 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Stephanie Dawn Stapleton (Personal Representative) appeared on Schedule A of M••••••• R••••••••• L••Mar 22, 2021 · Control person joined · fact
- George Edwin Crapple (Shareholder) no longer on Schedule A of M••••••• R••••••••• L•• (listed 2020-06-24, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Richard Bradley Sobel (Cfo & Finop, Broker Dealer) no longer on Schedule A of M••••••• R••••••••• L•• (listed 2020-06-24, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Carol Tuyn Crapple (Personal Representative) appeared on Schedule A of M••••••• R••••••••• L••Mar 22, 2021 · Control person joined · fact
- M••••••• R••••••••• L•• reported RAUM $2.9B, down 49% from $5.6B (2020-06-24 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- Heather Shawn Fargis (Personal Representative) appeared on Schedule A of M••••••• R••••••••• L••Mar 22, 2021 · Control person joined · fact
- Barry Alan Goodman (Co-Chief Executive Officer, Executive Director Of Trading) appeared on Schedule A of M••••••• R••••••••• L••Mar 30, 2020 · Control person joined · fact
- Ilon Wu (Chief Financial Officer) appeared on Schedule A of M••••••• R••••••••• L••Mar 30, 2020 · Control person joined · fact
- Judith London Newton (Trustee, Residuary Qsst Trust) appeared on Schedule A of M••••••• R••••••••• L••Mar 30, 2020 · Control person joined · fact
- M••••••• R••••••••• L•• reported RAUM $5.6B, up 31% from $4.3B (2020-03-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Grant Norman Smith (Co-Chief Executive Officer, Chief Investment Officer) appeared on Schedule A of M••••••• R••••••••• L••Mar 30, 2020 · 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
- Website
- M•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-332-7300reportedpublic record, Form ADV, May 20, 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