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•••• A•••• G••••• I••••••••• ••••••• G••••• D• R••••••• L••

Former SEC-registered adviserSao Paulo, CRD 152838SEC 801-71078IAPD
Latest filing Jun 12, 2012
First filing on the tape Mar 22, 2012 · 3 filings
RAUM
$564M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$564M as of Jun 12, 2012
Mar 22, 2012$564M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 12, 2012
Mar 22, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 12, 2012; 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
$22.6MderivedRAUM 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
unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
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)
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
25reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • K••• M•• S••• · Directorcontrol
        since 04/2010 · owns less than 5%
      • K••• M•••••••• · Directorcontrol
        since 07/2010 · owns less than 5%
      • K••• Y••••• C•••• · Directorcontrol
        since 11/2008 · owns less than 5%
      • K••• Y••••• H••• · Directorcontrol
        since 03/2009 · owns less than 5%
      • M•••••• J•••• C••••• · Chief Marketing Officercontrol
        since 11/2009 · owns less than 5%
      • O•••••••• F•••••••• R•••••• · Chief Compliance Officer And Statutory Directorcontrol
        since 03/2009 · owns less than 5%
      • P•••• H•••• J•• · Indirect Shareholdercontrol
        since 04/2008 · owns 25% to 50% of M•••• Asset Investments Co., Ltd. / K••• C••• L••.
      Entity owners
      • M•••• A•••• G••••• I••••••••• ••• L•••••• · Shareholder
        direct · owns 10% to 25%
      • M•••• A•••• G••••• I••••••••• C••• L•• · Shareholder
        direct · owns 75% or more
      • K••• C••• L•• · Inderect Shareholder
        indirect · owns 25% to 50% of M•••• Asset Investments Co., Ltd.
      Related persons
      Schedule D 7.A
      Advisers that list M•••• A•••• G••••• I••••••••• ••••••• G••••• D• R••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 4
        Apr 2, 2012 to Jun 12, 2012
      • Advisory activities · 2 to 3
        Mar 22, 2012 to Apr 2, 2012
      • Related adviser · false to true
        Mar 22, 2012 to Apr 2, 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