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•••• M••••••••• F•••• L••

Former SEC-registered adviserCRD 153183SEC 801-71171IAPD
Latest filing Mar 16, 2017
First filing on the tape Jan 25, 2012 · 10 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Mar 16, 2017
Jan 25, 2012$450,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 16, 2017
Jan 25, 20120 then
Employees (5.A)1 as of Mar 16, 2017
Mar 11, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2017; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• L••••• G••••• · Managing Member/Chief Compliance Officercontrol
        since 02/2010 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 0
        Mar 13, 2015 to Mar 14, 2016
      • Discretionary RAUM · $1.2M to $0
        Mar 13, 2015 to Mar 14, 2016
      • RAUM · $1.2M to $0
        Mar 13, 2015 to Mar 14, 2016
      • Accounts · 24 to 2
        Apr 4, 2014 to Feb 9, 2015
      • Discretionary RAUM · $1.2M to $1.2M
        Apr 4, 2014 to Feb 9, 2015
      • RAUM · $1.2M to $1.2M
        Apr 4, 2014 to Feb 9, 2015
      • Accounts · 5 to 24
        Mar 26, 2013 to Mar 24, 2014
      • Discretionary RAUM · $6.8M to $1.2M
        Mar 26, 2013 to Mar 24, 2014
      • RAUM · $6.8M to $1.2M
        Mar 26, 2013 to Mar 24, 2014
      • Accounts · 11 to 5
        Jan 4, 2013 to Mar 11, 2013
      • Discretionary RAUM · $450,000 to $6.8M
        Jan 4, 2013 to Mar 11, 2013
      • RAUM · $450,000 to $6.8M
        Jan 4, 2013 to Mar 11, 2013
      • Advisory employees · unset to 1.0
        Jan 25, 2012 to Jan 4, 2013
      • Advisory activities · 1 to 2
        Jan 25, 2012 to Jan 4, 2013
      • Employees · unset to 1.0
        Jan 25, 2012 to Jan 4, 2013
      • State-registered IARs · 0 to 1
        Jan 25, 2012 to Jan 4, 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