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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M••••••• P•••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 15, 2012 · 20 filings
SEC status approved since Oct 14, 2009
RAUM
$484M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$484M as of Mar 24, 2026
Mar 15, 2012$318M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 28, 20130 then
Employees (5.A)6 as of Mar 24, 2026
Mar 28, 20137 then
Private funds1 as of Mar 31, 2023
Mar 28, 20131 then
RAUM +34% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $121MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%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
- +34%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $484M, 2 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)
- 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
- Pension and profit-sharing plans$484M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $484M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
3 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- L••••••••• R•••••• G••••• · Chairmancontrolsince 08/2009 · owns less than 5%
- M•••••• M•••• E••••• · Chief Compliance Officercontrolsince 08/2009 · owns less than 5%
- W••••••• J••••••• M••••••• · Ceocontrolsince 08/2009 · owns less than 5%
- W••••••• J••••••• M••••••• · Ceocontrolsince 01/2020 · owns 75% or more of M••••••• P•••••• G••••• L••
Entity owners
- M••••••• P•••••• G••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•••• S•••• I••••••••• G••••• L••investment advisern
Advisers that list M••••••• P•••••• A•••••••• L•• as a related person
- 141951 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $363M to $484MMar 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $363M to $484MMar 11, 2025 to Mar 24, 2026
- Pension RAUM · $363M to $484MMar 11, 2025 to Mar 24, 2026
- RAUM · $363M to $484MMar 11, 2025 to Mar 24, 2026
- Assets in custody · $204M to $363MMar 25, 2024 to Mar 11, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 11, 2025
- Discretionary RAUM · $204M to $363MMar 25, 2024 to Mar 11, 2025
- Pension RAUM · $204M to $363MMar 25, 2024 to Mar 11, 2025
- RAUM · $204M to $363MMar 25, 2024 to Mar 11, 2025
- Accounts · 5 to 4Mar 31, 2023 to Mar 25, 2024
- Pooled vehicle clients · 1.0 to unsetMar 31, 2023 to Mar 25, 2024
- Assets in custody · $172M to $204MMar 31, 2023 to Mar 25, 2024
- Employees · 10 to 6Mar 31, 2023 to Mar 25, 2024
- Private funds · 1 to unsetMar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $177M to $204MMar 31, 2023 to Mar 25, 2024
- Pension RAUM · $172M to $204MMar 31, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · 5489991.0 to unsetMar 31, 2023 to Mar 25, 2024
- RAUM · $177M to $204MMar 31, 2023 to Mar 25, 2024
- Accounts · 6 to 5Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 1Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $210M to $172MMar 31, 2022 to Mar 31, 2023
- Employees · 11 to 10Mar 31, 2022 to Mar 31, 2023
- Private funds · 2 to 1Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $456M to $177MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $210M to $172MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $246M to $5.5MMar 31, 2022 to Mar 31, 2023
- RAUM · $456M to $177MMar 31, 2022 to Mar 31, 2023
- Accounts · 4 to 6Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $87.8M to $210MMar 31, 2021 to Mar 31, 2022
- Employees · 12 to 11Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $431M to $456MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $87.8M to $210MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $344M to $246MMar 31, 2021 to Mar 31, 2022
- RAUM · $431M to $456MMar 31, 2021 to Mar 31, 2022
- Assets in custody · $146M to $87.8MMar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $555M to $431MMar 31, 2020 to Mar 31, 2021
- Pension RAUM · $146M to $87.8MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $409M to $344MMar 31, 2020 to Mar 31, 2021
- RAUM · $555M to $431MMar 31, 2020 to Mar 31, 2021
Signals
5 dated events
- M••••••• P•••••• A•••••••• L•• reported RAUM $484.3M, up 34% from $362.6M (2025-03-11 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- M••••••• P•••••• A•••••••• L•• reported RAUM $362.6M, up 78% from $204.2M (2024-03-25 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- M••••••• P•••••• A•••••••• L•• reported RAUM $177.4M, down 61% from $455.8M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- M••••••• P•••••• A•••••••• L•• reported RAUM $554.7M, down 34% from $836.9M (2019-03-28 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- M••••••• P•••••• A•••••••• L•• reported RAUM $983.1M, up 90% from $517.6M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-284-7200reportedpublic record, Form ADV, Mar 24, 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
- Institutional managerderiveda 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