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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Former SEC-registered adviser

M•••• I••••••••• M•••••••••

Former SEC-registered adviserWilmington, DelawareCRD 149663SEC 801-72593IAPD
Legal name M•••• I••••••••• M••••••••• L••
Latest filing May 1, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$934,998
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$934,998
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$934,998 gross assets
History
7 filings and snapshots on the tape
RAUM$934,998 as of May 1, 2015
Mar 29, 2012$151M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2015
Apr 1, 20130 then
Employees (5.A)1 as of May 1, 2015
Apr 1, 20132 then
Private funds1 as of May 1, 2015
Apr 1, 20131 then
RAUM -99% over the last fiscal year-82% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2015; every figure names its basis
RAUM per advisor
$934,998derivedRAUM 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
$467,499derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-99%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$934,998, 1 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
  • 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)
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$934,998 for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• S•••• M•••••West Chester, PaJun 10, 202023 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    M•••• F•••• L•••Hedge Fund$934,9982Feb 15, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• J•••••• S•••• · Managing Member Of Relying Advisercontrol
      since 05/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    • M•••• I••••••••• P•••••••• L••
      investment adviserbankpooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 4 to 2
      Mar 12, 2014 to Feb 2, 2015
    • Advisory employees · 2 to 1
      Mar 12, 2014 to Feb 2, 2015
    • Advisory activities · 2 to 3
      Mar 12, 2014 to Feb 2, 2015
    • Assets in custody · $41.0M to $934,998
      Mar 12, 2014 to Feb 2, 2015
    • Employees · 2 to 1
      Mar 12, 2014 to Feb 2, 2015
    • Discretionary RAUM · $117M to $934,998
      Mar 12, 2014 to Feb 2, 2015
    • RAUM · $117M to $934,998
      Mar 12, 2014 to Feb 2, 2015
    • Accounts · 5 to 4
      Jun 7, 2013 to Mar 12, 2014
    • Assets in custody · $31.9M to $41.0M
      Jun 7, 2013 to Mar 12, 2014
    • Discretionary RAUM · $149M to $117M
      Jun 7, 2013 to Mar 12, 2014
    • RAUM · $149M to $117M
      Jun 7, 2013 to Mar 12, 2014
    • Accounts · 4 to 5
      Feb 15, 2013 to Apr 1, 2013
    • Assets in custody · $28.9M to $31.9M
      Feb 15, 2013 to Apr 1, 2013
    • Discretionary RAUM · $133M to $149M
      Feb 15, 2013 to Apr 1, 2013
    • RAUM · $133M to $149M
      Feb 15, 2013 to Apr 1, 2013
    • Accounts · 1 to 4
      Mar 29, 2012 to Feb 15, 2013
    • Advisory employees · unset to 2.0
      Mar 29, 2012 to Feb 15, 2013
    • Assets in custody · unset to 28944417.0
      Mar 29, 2012 to Feb 15, 2013
    • Custody of client assets · false to true
      Mar 29, 2012 to Feb 15, 2013
    • Employees · unset to 2.0
      Mar 29, 2012 to Feb 15, 2013
    • State-registered IARs · unset to 0.0
      Mar 29, 2012 to Feb 15, 2013
    • Private funds · unset to 1
      Mar 29, 2012 to Feb 15, 2013
    • Discretionary RAUM · $151M to $133M
      Mar 29, 2012 to Feb 15, 2013
    • RAUM · $151M to $133M
      Mar 29, 2012 to Feb 15, 2013
    • Related adviser · false to true
      Mar 29, 2012 to Feb 15, 2013
    • Related bank · false to true
      Mar 29, 2012 to Feb 15, 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
    $934,998derivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026