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•••••• I••••••••• L••
Latest filing Jul 13, 2016
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$35.8M
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
48
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$4.5M gross assets
History
13 filings and snapshots on the tape
RAUM$35.8M as of Mar 29, 2016
Mar 29, 2012$9.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)38 as of Mar 29, 2016
Apr 1, 201316 then
Employees (5.A)48 as of Mar 29, 2016
Apr 1, 201321 then
Private funds1 as of Mar 29, 2016
Mar 29, 20121 then
RAUM -86% over the last fiscal year-45% a year over threeIARs 30 to 38
Practice profile
derived from the filing of Jul 13, 2016; every figure names its basis
- RAUM per advisor
- $941,311derivedRAUM 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
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 38.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -86%derivedbetween the last two annual amendments
- Advisor growth, one year
- +27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $4.5M, 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)
- 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)
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
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.5M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
- B••••••• G•••••• P•••• to T••••••••• I••••••••• P•••••••• L••Nov 18, 2016 · Other
- A•••••• J• S•••••• to T••••••••• I••••••••• P•••••••• L••Nov 18, 2016 · Other
- J•••• E••••• M•••••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- M•••••• P••••• F••••••••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- N••••• S•••• B••••••••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- A••••• P••••••••• P•••••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- R••• T••••• H••••••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- C•••• R••••••••• F••••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- J•••• D••••• F••• to T••••••••• I••••••••• P•••••••• L••Nov 17, 2016 · Other
- K•••••• D•••••• R•••••••• to M••••••Oct 4, 2016 · Other
- T•••••• H••••• I•••• to M••••• A•••• M••••••••• I•••May 10, 2016 · Other
- A••••• E••• C••••••• to W•••••• • R•••Mar 21, 2016 · Other
- B••••••• C••••••••• to C••••• A•••••• N••••••• L••Feb 8, 2016 · Other
- B•••• L•• H••••••• to M••••••Dec 31, 2015 · Other
- J••••• L•• M••••• to M••••••Dec 31, 2015 · Other
Joined, latest
- B••••••• G•••••• P•••• from F•• W••••• P•••••••• I•••Jun 21, 2016 · Other
- R••• T••••• H••••••• from E••••• J••••Aug 5, 2015 · Other
- T•••••• H••••• I•••• from H••••••••• F•••••••• A•••••••Apr 15, 2015 · Other
- J•••• E••••• M•••••• from M••••••Mar 11, 2015 · Other
- J•••• D••••• F••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 30, 2015 · Other
- A••••• E••• C••••••• from C••••• F••••••••Dec 5, 2014 · Other
- B•••• L•• H••••••• from F••••••• W••••• M••••••••• L••Nov 17, 2014 · Other
- J••••• L•• M••••• from V•• A••••••• S•••••••Nov 4, 2014 · Other
- A••• J•••••• D••••• from M••••••Jun 10, 2013 · Other
- B•••• D••••• F••••••• from W•••••• • R•••Mar 25, 2013 · Other
- E••• S• B•••• from T• A••••••••• I•••Mar 25, 2013 · Other
- S••• M•••••• L•••• from G••••••••• I•••••••••Jun 11, 2012 · Other
- K•••••• D•••••• R•••••••• from M••••••Apr 13, 2012 · Other
- J•••• R••• D••••••• from C••••• A••••••• L••Jan 11, 2011 · Other
- C••••••••• D••• L••• from G••••••• C•••••• M••••••••• L••Sep 22, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M•••••• C••••••••• · Chief Executive Officercontrolsince 01/2010 · owns less than 5%
- D•••••• A•••• J•••••• · Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
- H•••••• G•••• P••• · President/Chief Investment Officercontrolsince 01/2010 · owns less than 5%
- V••••••• C•••••• R•••• · Chief Strategy Officercontrolsince 08/2011 · owns less than 5%
- B•••••••• M•••••• C••••••••• · Elected Managercontrolsince 07/2007 · owns F of B••••••• F••••• H•••••• C••••••• L••
Entity owners
- M•••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- B••••••• F••••• H•••••• C••••••• L•• · Managerindirect · owns 75% or more of M•••••• H•••••••• L••
Related persons
Schedule D 7.A
- 4•• I••••••••• G••••• L••investment adviseryRAUM $157M
- A•••••• E•••••• L••investment adviserpooled vehicle sponsoryRAUM $177M
- A••••• I••••••••• P•••••••• L••investment adviseryRAUM $1.1B
- C••••••••• I••••••••• P•••••••• L••investment adviseryRAUM $524M
- F••••••••• F••••••••• L••investment adviseryRAUM $60,000
- F•••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsoryRAUM $148M
- G•••••• A•••••••• L••investment adviseryRAUM $206M
- M•••••• C••••••••• L••insurancen
- M•••••• I••••••••• C••••••••• L••investment adviserLP sponsorn
- M•••••• I•••••••• R••••••••• L••real estaten
- Platform Investments, LLCinvestment adviserpooled vehicle sponsoryRAUM $1.7B
- M•••••• R••••••••• A•••••••• L••investment adviserLP sponsornRAUM $1.7B
- M•••••• T•••• C••••••• L••n
- M•••••• W••••• A•••••••investment advisernRAUM $2.8B
- M•••••• W••••• A•••••••investment advisernRAUM $285M
- M•••••• W••••• A•••••••investment adviserinsuranceLP sponsornRAUM $1.1B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $1.1B
- M•••••• W••••• A•••••••investment adviserinsurancenRAUM $724M
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.4B
- M•••••• W••••• A•••••••investment advisernRAUM $416M
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $615M
- M••••••investment adviserpooled vehicle sponsorLP sponsornRAUM $125B
- M•••••• S••••••••• L••broker-dealern
- N••••• I••••••••• L••investment adviseryRAUM $984M
- P••••• S••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $26B
- R• I••••••••• L••investment advisery
- R••••••••• I••••••••• A••••••• L••investment adviserpooled vehicle sponsoryRAUM $20.5M
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.8B
- S••••••••• H••••• L••investment adviserpooled vehicle sponsoryRAUM $282M
- T••••••••• L••investment adviseryRAUM $33.1M
Advisers that list M•••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 12Mar 27, 2015 to Mar 29, 2016
- BD registered reps · 30 to 38Mar 27, 2015 to Mar 29, 2016
- Assets in custody · $26.0M to $4.5MMar 27, 2015 to Mar 29, 2016
- Employees · 43 to 48Mar 27, 2015 to Mar 29, 2016
- State-registered IARs · 30 to 38Mar 27, 2015 to Mar 29, 2016
- Discretionary RAUM · $136M to $35.8MMar 27, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $114M to $0Mar 27, 2015 to Mar 29, 2016
- RAUM · $250M to $35.8MMar 27, 2015 to Mar 29, 2016
- Accounts · 24 to 15Mar 27, 2014 to Mar 27, 2015
- Advisory activities · 5 to 4Mar 27, 2014 to Mar 27, 2015
- BD registered reps · 21 to 30Mar 27, 2014 to Mar 27, 2015
- Assets in custody · $29.0M to $25.3MMar 27, 2014 to Mar 27, 2015
- Employees · 23 to 43Mar 27, 2014 to Mar 27, 2015
- Insurance-licensed employees · 1 to 0Mar 27, 2014 to Mar 27, 2015
- State-registered IARs · 20 to 30Mar 27, 2014 to Mar 27, 2015
- Discretionary RAUM · $115M to $136MMar 27, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $121M to $114MMar 27, 2014 to Mar 27, 2015
- RAUM · $237M to $250MMar 27, 2014 to Mar 27, 2015
- Assets in custody · $25.3M to $26.0MMar 27, 2015 to Mar 27, 2015
- Accounts · 56 to 24Apr 1, 2013 to Mar 27, 2014
- Advisory activities · 4 to 5Apr 1, 2013 to Mar 27, 2014
- BD registered reps · 17 to 21Apr 1, 2013 to Mar 27, 2014
- Assets in custody · $26.1M to $29.0MApr 1, 2013 to Mar 27, 2014
- Employees · 21 to 23Apr 1, 2013 to Mar 27, 2014
- Insurance-licensed employees · 0 to 1Apr 1, 2013 to Mar 27, 2014
- State-registered IARs · 16 to 20Apr 1, 2013 to Mar 27, 2014
- Discretionary RAUM · $95.0M to $115MApr 1, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $124M to $121MApr 1, 2013 to Mar 27, 2014
- RAUM · $219M to $237MApr 1, 2013 to Mar 27, 2014
- Accounts · 64 to 56Oct 26, 2012 to Apr 1, 2013
- Advisory employees · unset to 4.0Oct 26, 2012 to Apr 1, 2013
- BD registered reps · unset to 17.0Oct 26, 2012 to Apr 1, 2013
- Employees · unset to 21.0Oct 26, 2012 to Apr 1, 2013
- State-registered IARs · unset to 16.0Oct 26, 2012 to Apr 1, 2013
- Discretionary RAUM · $256M to $95.0MOct 26, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $0 to $124MOct 26, 2012 to Apr 1, 2013
- RAUM · $256M to $219MOct 26, 2012 to Apr 1, 2013
- Related bank · false to trueOct 26, 2012 to Apr 1, 2013
- Accounts · 1,880 to 64Sep 24, 2012 to Oct 26, 2012
- Assets in custody · $13.6M to $26.1MSep 24, 2012 to Oct 26, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M•••••• I••••••••• L•• · Private Equityshared crd · organization
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