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••••••• U• A••••••• L•••
Latest filing Sep 2, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Oct 14, 2009
RAUM
$3.7B
reported, Item 5.F
Discretionary
96%
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
40
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$3.7B as of Mar 31, 2026
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)40 as of Mar 31, 2026
Apr 1, 201325 then
Private funds10 as of Mar 31, 2026
Mar 30, 20127 then
RAUM -8.0% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 2, 2026; 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
- $370MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%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 pooled vehiclesreportedItem 5.G
- Custody
- $3.7B, 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
- 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
- Pooled investment vehicles$3.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• P••••••• V• L•• | Private Equity Fund | $1.5B | 153 | Mar 30, 2018 |
| M••••••• P••••••• V•• L• | Private Equity Fund | $419M | 187 | Dec 21, 2021 |
| M••••••• P•••••• H•••••••• L• | Private Equity Fund | $261M | 24 | Mar 28, 2019 |
| M••••••• P••••••• I•• L• | Private Equity Fund | $219M | 37 | Mar 30, 2016 |
| M••••••• P••••••• I•••• L•no longer reported | Private Equity Fund | $19.6M | 15 | Mar 30, 2012 |
| M••••••• M••• C•••••••• L••• | Private Equity Fund | $8.5M | 2 | Mar 28, 2024 |
| M••••••• P••••••• I•••• L•no longer reported | Private Equity Fund | $1.2M | 15 | Mar 30, 2016 |
| M••••••• P••••••• I••••• L• | Private Equity Fund | $226,160 | 29 | Mar 30, 2012 |
| M••••••• P••••••• I••••• L• | Private Equity Fund | $36,239 | 6 | Mar 30, 2012 |
| M••••••• P••••••• I••• L• | Private Equity Fund | $11,561 | 74 | Mar 30, 2012 |
| M••••••• P••••••• I••••• L• | Private Equity Fund | $0 | 24 | Mar 30, 2012 |
| M••••••• P••••••• I•• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| M••••••• P•••••••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• D••••••• L•• · Chief Compliance Officercontrolsince 02/2003 · owns less than 5%
- S•••••• A•••••• L••••••• · Chief Financial Officercontrolsince 02/2003 · owns less than 5%
- V•••••• J••••• E••••• · Ceocontrolsince 01/2003 · owns less than 5%
- V•••••• J••••• E••••• · Shareholdercontrolsince 01/2003 · owns F of U••••••• C•••••• L••
- V•••••• J••••• E••••• · Limited Partnercontrolsince 10/2021 · owns 50% to 75% of M••••••• M•••••• F•••••• L•
- V•••••• J••••• E••••• · Membercontrolsince 10/2021 · owns 75% or more of M••••••• H••••••• L••
Entity owners
- M••••••• M•••••• H•••••••• L• · Limited Partnerdirect · owns 75% or more
- M••••••• U• A•••••• H•••••••• L•• · General Partnerdirect · owns less than 5%
- M••••••• H••••••• L•• · General Partnerindirect · owns F of M••••••• M•••••• H•••••••• L•
- M••••••• H••••••• L•• · General Partnerindirect · owns F of M••••••• M•••••• F•••••• L•
- M••••••• M•••••• F•••••• L• · Limited Partnerindirect · owns 75% or more of M••••••• M•••••• H•••••••• L•
- U••••••• C•••••• L•• · Shareholderindirect · owns F of M••••••• U• A•••••• H•••••••• L••
Related persons
Schedule D 7.A
- M••••••• A••••••• R••••• C••••• F••• G•• L•pooled vehicle sponsorn
- M••••••• A••••••••• I•• L•pooled vehicle sponsorn
- M••••••• A••••••••• S••• M••••••• P••••••• S••••••••• P••••••••pooled vehicle sponsorn
- M••••••• A••••••••• S••• M••••••• P••••••• S••••••••• P•••••••• I•pooled vehicle sponsorn
- M••••••• A••••••••• S••• M••••••• P••••••• S••••••••• P•••••••• I••pooled vehicle sponsorn
- M••••••• A••••••••• V• L•••pooled vehicle sponsorn
- M••••••• A••••••••• V•• L•pooled vehicle sponsorn
- M••••••• C•• E••••• F••• I• A••••••••• L•pooled vehicle sponsorn
- M••••••• C••••• P•••••••investment adviserbankpooled vehicle sponsornRAUM $8.5B
- M••••••• C••••• O••••••••• F••• G•• L•pooled vehicle sponsorn
- M••••••• C••••• O••••••••• I•• G•• L•pooled vehicle sponsorn
- M••••••• M•••• A•••• C••••• F••• G•• L••pooled vehicle sponsorn
- M••••••• T••••••• C••••• F••• I•• G•• L•pooled vehicle sponsorn
- M••••••• T••••••• D••••••••• F••• A• G•• L•pooled vehicle sponsorn
- M••••••• T••••••• L•• V••••••••• C••••• F••• I• G•• L•pooled vehicle sponsorn
- M••••••• T••••••• S•••••••• F••• G•• L•pooled vehicle sponsorn
- M••••••• U• A•••••• H•••••••• L••pooled vehicle sponsorn
Advisers that list M••••••• U• A••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Palm Beach Gardens, FL3 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 2, 2026
- Private funds · 10 to unsetMar 31, 2026 to Sep 2, 2026
- Succession · false to unsetMar 31, 2026 to Sep 2, 2026
- Accounts · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $4.0B to $3.7BMar 31, 2025 to Mar 31, 2026
- Employees · 39 to 40Mar 31, 2025 to Mar 31, 2026
- Private funds · 7 to 10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.0B to $3.6BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $135MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.0B to $3.7BMar 31, 2025 to Mar 31, 2026
- RAUM · $4.0B to $3.7BMar 31, 2025 to Mar 31, 2026
- Accounts · 12 to 8Jun 10, 2024 to Mar 31, 2025
- Pooled vehicle clients · 12 to 8Jun 10, 2024 to Mar 31, 2025
- Assets in custody · unset to 4023119000.0Jun 10, 2024 to Mar 31, 2025
- Custody of client assets · false to trueJun 10, 2024 to Mar 31, 2025
- Employees · 40 to 39Jun 10, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 10, 2024 to Mar 31, 2025
- Private funds · 9 to 7Jun 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.6B to $4.0BJun 10, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $127M to $0Jun 10, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.7B to $4.0BJun 10, 2024 to Mar 31, 2025
- RAUM · $3.7B to $4.0BJun 10, 2024 to Mar 31, 2025
- Accounts · 11 to 12Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 17 to 23Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 11 to 12Mar 31, 2023 to Mar 28, 2024
- Employees · 37 to 40Mar 31, 2023 to Mar 28, 2024
- Private funds · 8 to 9Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.6B to $3.6BMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $112M to $127MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.7B to $3.7BMar 31, 2023 to Mar 28, 2024
- RAUM · $3.7B to $3.7BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 21 to 17Mar 31, 2022 to Mar 31, 2023
- Employees · 34 to 37Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.0B to $3.6BMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $124M to $112MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.1B to $3.7BMar 31, 2022 to Mar 31, 2023
- RAUM · $4.1B to $3.7BMar 31, 2022 to Mar 31, 2023
- Accounts · 10 to 11Dec 21, 2021 to Mar 31, 2022
- Advisory employees · 19 to 21Dec 21, 2021 to Mar 31, 2022
Signals
2 dated events
- M••••••• U• A••••••• L••• reported RAUM $4.1B, up 64% from $2.5B (2021-12-21 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- M••••••• U• A••••••• L••• reported RAUM $2.1B, up 39% from $1.5B (2017-04-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M••••••• U• A••••••• L••• · Independent Sponsorsshared crd · capital_provider
- M••••••• U• A••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/midocean-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-497-1400reportedpublic record, Form ADV, Sep 2, 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