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••••••••• C•••••• A•••••••

Former SEC-registered adviserNew York, New YorkCRD 151093SEC 801-70561IAPD
Legal name M••••••••• C•••••• S•••••• L••
Latest filing Mar 26, 2015
First filing on the tape Mar 26, 2012 · 6 filings
RAUM
$25.3M
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
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$25.3M as of Mar 26, 2015
Mar 26, 2012$25.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Mar 26, 20120 then
Employees (5.A)8 as of Mar 26, 2015
Mar 25, 20139 then
Private funds: no history
RAUM -7.2% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
$1.3MderivedRAUM 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
-7.2%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
otherreportedItem 5.G
Custody
$150M, 10 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$150M for 10 clientsreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• G••••••• A••• · Chief Financial Officercontrol
        since 01/2012 · owns less than 5%
      • F•••••••• K••••• L••• · Managing Member And Chief Executive Officercontrol
        since 05/2006 · owns 50% to 75%
      • S••••••• J••••••• E••• · Managing Membercontrol
        since 05/2006 · owns 25% to 50%
      • V•••••• T•••••••• G••••••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 06/2007 · owns less than 5%
      • Y••••• T•••••• L••• · Head Of Tradingcontrol
        since 05/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list M••••••••• C•••••• A••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 21 to 20
        Oct 10, 2014 to Mar 26, 2015
      • Advisory employees · 6 to 4
        Oct 10, 2014 to Mar 26, 2015
      • Assets in custody · $163M to $150M
        Oct 10, 2014 to Mar 26, 2015
      • Employees · 9 to 8
        Oct 10, 2014 to Mar 26, 2015
      • Discretionary RAUM · $27.3M to $25.3M
        Oct 10, 2014 to Mar 26, 2015
      • RAUM · $27.3M to $25.3M
        Oct 10, 2014 to Mar 26, 2015
      • Accounts · 1 to 21
        Mar 25, 2013 to Mar 25, 2014
      • Assets in custody · $117M to $163M
        Mar 25, 2013 to Mar 25, 2014
      • Discretionary RAUM · $23.4M to $27.3M
        Mar 25, 2013 to Mar 25, 2014
      • RAUM · $23.4M to $27.3M
        Mar 25, 2013 to Mar 25, 2014
      • Advisory employees · unset to 6.0
        Jun 28, 2012 to Mar 25, 2013
      • Employees · unset to 9.0
        Jun 28, 2012 to Mar 25, 2013
      • Discretionary RAUM · $25.9M to $23.4M
        Jun 28, 2012 to Mar 25, 2013
      • RAUM · $25.9M to $23.4M
        Jun 28, 2012 to Mar 25, 2013
      • Assets in custody · unset to 117000000.0
        Mar 26, 2012 to Jun 28, 2012
      • Custody of client assets · false to true
        Mar 26, 2012 to Jun 28, 2012
      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