DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
M•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 8, 2012
RAUM
$210M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$210M as of Mar 31, 2026
Mar 7, 2013$375M then
HNW client RAUM$0 as of Mar 31, 2026
Jan 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 7, 20130 then
Employees (5.A)4 as of Mar 31, 2026
Mar 7, 20134 then
Private funds1 as of Mar 31, 2026
Mar 7, 20133 then
RAUM -50% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $69.9MderivedRAUM 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
- -50%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 vehiclesreportedItem 5.G
- Custody
- $210M, 3 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
- Pooled investment vehicles$210M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $210M for 3 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••• O••••••• M••••• F••• L• | Hedge Fund | $478M | 48 | Feb 14, 2012 |
| B•• W••••• S••••••••• L•• • B•• M•••••• P••••••• S••••• | Hedge Fund | $304M | 669 | Nov 12, 2024 |
| M•••••• I•••••••• L•no longer reported | Hedge Fund | $171M | 31 | Feb 14, 2012 |
| M•••••• I•••••• L•••no longer reported | Hedge Fund | $162M | 1 | Mar 7, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• T•••••• M•••• · Partner, Pm & Ciocontrolsince 11/2006 · owns 50% to 75%
- G•••••• A•••• J••••• · Partner, Cco And Cfocontrolsince 01/2016 · owns 5% to 10%
- L••• J•••• K• · Partner And Analystcontrolsince 11/2006 · owns 10% to 25%
- B••••• M••••••• S••••••• · Partner And Analystsince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $423M to $210MMar 26, 2025 to Mar 31, 2026
- Employees · 6 to 4Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $423M to $210MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $423M to $210MMar 26, 2025 to Mar 31, 2026
- RAUM · $423M to $210MMar 26, 2025 to Mar 31, 2026
- Accounts · 4 to 3Nov 12, 2024 to Mar 26, 2025
- Pooled vehicle clients · 4 to 3Nov 12, 2024 to Mar 26, 2025
- Assets in custody · $478M to $423MNov 12, 2024 to Mar 26, 2025
- Financial planning clients · unset to Nov 12, 2024 to Mar 26, 2025
- Private funds · 2 to 1Nov 12, 2024 to Mar 26, 2025
- Discretionary RAUM · $860M to $423MNov 12, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $860M to $423MNov 12, 2024 to Mar 26, 2025
- RAUM · $860M to $423MNov 12, 2024 to Mar 26, 2025
- Private funds · 1 to 2Mar 22, 2024 to Nov 12, 2024
- Advisory employees · 4 to 3Mar 28, 2023 to Mar 22, 2024
- Assets in custody · $471M to $478MMar 28, 2023 to Mar 22, 2024
- Employees · 7 to 6Mar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $775M to $860MMar 28, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $775M to $860MMar 28, 2023 to Mar 22, 2024
- RAUM · $775M to $860MMar 28, 2023 to Mar 22, 2024
- Advisory activities · 2 to 1Nov 4, 2022 to Mar 28, 2023
- Assets in custody · $475M to $471MNov 4, 2022 to Mar 28, 2023
- Employees · 6 to 7Nov 4, 2022 to Mar 28, 2023
- Discretionary RAUM · $712M to $775MNov 4, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $712M to $775MNov 4, 2022 to Mar 28, 2023
- RAUM · $712M to $775MNov 4, 2022 to Mar 28, 2023
- Accounts · 3 to 4Mar 31, 2022 to Nov 4, 2022
- Pooled vehicle clients · 3 to 4Mar 31, 2022 to Nov 4, 2022
- Assets in custody · $662M to $475MMar 31, 2022 to Nov 4, 2022
- Discretionary RAUM · $662M to $712MMar 31, 2022 to Nov 4, 2022
- Pooled vehicle RAUM · $662M to $712MMar 31, 2022 to Nov 4, 2022
- RAUM · $662M to $712MMar 31, 2022 to Nov 4, 2022
- Assets in custody · $500M to $662MMar 30, 2021 to Mar 31, 2022
- Employees · 7 to 6Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $500M to $662MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $500M to $662MMar 30, 2021 to Mar 31, 2022
- RAUM · $500M to $662MMar 30, 2021 to Mar 31, 2022
- Accounts · 2 to 3Mar 26, 2020 to Mar 30, 2021
- Pooled vehicle clients · 2 to 3Mar 26, 2020 to Mar 30, 2021
- Assets in custody · $503M to $500MMar 26, 2020 to Mar 30, 2021
Signals
5 dated events
- M•••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $209.8M)Jun 1, 2026 · Left the SEC roster · derived
- M•••••• P•••••••• L•• reported RAUM $209.8M, down 50% from $423.4M (2025-03-26 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M•••••• P•••••••• L•• reported RAUM $423.4M, down 51% from $860.5M (2024-11-12 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- M•••••• P•••••••• L•• reported RAUM $662.2M, up 33% from $499.7M (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- M•••••• P•••••••• L•• reported RAUM $503.3M, down 38% from $815.4M (2019-03-29 to 2020-03-26)Mar 26, 2020 · 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.
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