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.

Former SEC-registered adviser

M••••••• M••••••••• G•••• L•

Former SEC-registered adviserSan Francisco, CaliforniaCRD 152453SEC 801-70945IAPD
Latest filing Jun 12, 2015
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$414M
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
42
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$414M gross assets
History
7 filings and snapshots on the tape
RAUM$414M as of Mar 30, 2015
Mar 28, 2012$345M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20120 then
Employees (5.A)42 as of Mar 30, 2015
Mar 28, 201336 then
Private funds1 as of Mar 30, 2015
Mar 28, 20121 then
RAUM +1.1% over the last fiscal year+6.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 12, 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
$414MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+1.1%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 vehicles, selection of other advisersreportedItem 5.G
Custody
$414M, 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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$414M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• I•••••••• L••Hedge Fund$414M6Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• A•••• R•••••• · Co-President/ Senior Managing Director Of General Partnercontrol
        since 12/2009 · owns less than 5%
      • M••••••• M•••• J•••• · Chief Operating Officer Of General Partnercontrol
        since 12/2009 · owns less than 5%
      • S•••••• N•••••••• · Chairman/ Senior Managing Director Of General Partnercontrol
        since 12/2009 · owns less than 5%
      • Z••••• D••••• K•••••• · Co-President/Senior Managing Director Of General Partnercontrol
        since 12/2009 · owns less than 5%
      • B••••••••• L••••• J••• · Trusteecontrol
        since 12/1998 · owns F of 1••• S••••• F••••• R•••••••• T••••
      • M•••••• A•••• R•••••• · Co-President/Senior Managing Directorcontrol
        since 11/2006 · owns 25% to 50% of M•• G• L••
      • S•••••• N•••••••• · Trusteecontrol
        since 12/1998 · owns F of 1••• S••••• F••••• R•••••••• T••••
      • Z••••• D••••• K•••••• · Co-President/Senior Managing Directorcontrol
        since 11/2006 · owns 25% to 50% of M•• G• L••
      • B••••••••• L••••• J••• · Chief Compliance Officer And General Counsel
        since 12/2009 · owns less than 5%
      Entity owners
      • 1••• S••••• F••••• R•••••••• T•••• · Limited Partner
        direct · owns 75% or more
      • M•• G• L•• · General Partner
        direct · owns less than 5%
      • 1••• S••••• F••••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of M•• G• L••
      Related persons
      Schedule D 7.A
      • M•••• L••
        bankpooled vehicle sponsorn
      • M•••••••• G• L••
        investment adviserbankpooled vehicle sponsorn
      • M•••• L••
        bankpooled vehicle sponsorn
      • M••••••• G•••• L•
        investment adviserbankpooled vehicle sponsornRAUM $14B
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT
      • New York, NY
      • ,
      What changed
      consecutive filings, newest first
      • Assets in custody · $409M to $414M
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 41 to 42
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $409M to $414M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $409M to $414M
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 23 to 20
        Jul 1, 2013 to Mar 28, 2014
      • Assets in custody · $377M to $409M
        Jul 1, 2013 to Mar 28, 2014
      • Employees · 36 to 41
        Jul 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $377M to $409M
        Jul 1, 2013 to Mar 28, 2014
      • RAUM · $377M to $409M
        Jul 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 23.0
        Mar 28, 2012 to Mar 28, 2013
      • Assets in custody · $345M to $377M
        Mar 28, 2012 to Mar 28, 2013
      • Employees · unset to 36.0
        Mar 28, 2012 to Mar 28, 2013
      • Discretionary RAUM · $345M to $377M
        Mar 28, 2012 to Mar 28, 2013
      • RAUM · $345M to $377M
        Mar 28, 2012 to Mar 28, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026