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••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 153968SEC 801-71515IAPD
Latest filing May 15, 2020
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$432M
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
64
29 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$432M as of May 15, 2020
Mar 30, 2012$1.3B then
HNW client RAUM$0 as of May 15, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of May 15, 2020
Apr 1, 20130 then
Employees (5.A)64 as of May 15, 2020
Apr 1, 201347 then
Private funds: 3
RAUM -40% over the last fiscal year-25% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 15, 2020; 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
$432MderivedRAUM 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
-40%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 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
  • 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••• O••••••••• F••• L••no longer reportedHedge Fund$602M48Mar 30, 2012
      M••••• O••••••••• F••• I• L•no longer reportedPrivate Equity Fund$198M16Mar 30, 2012
      M••••• O••••••••• F••• L•no longer reportedHedge Fund$68.7M28Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• R••••••• T••••• · Chief Financial Officercontrol
        since 07/2010 · owns less than 5%
      • T••••• B••••• B••••• · Managercontrol
        since 05/2010 · owns less than 5%
      • T••••• S•••• B••••• · Managercontrol
        since 05/2010 · owns less than 5%
      • T•••••• J••••••• B•••••• · Managercontrol
        since 03/2014 · owns less than 5%
      • T••••• B••••• B••••• · Trusteecontrol
        since 09/2014 · owns F of B•••• T•••• T••••
      • T••••• S•••• B••••• · Trusteecontrol
        since 09/2014 · owns F of S••• & A•••• T•••• Trust
      • F••••••••• J•••• D••••• · General Counsel And Chief Compliance Officer
        since 03/2014 · owns less than 5%
      Entity owners
      • M••••• L•• · Member
        direct · owns 75% or more
      • B•••• T•••• T•••• · Member
        indirect · owns 25% to 50% of M••••• L••
      • M••••• M••••••••• I••• · Managing Member
        indirect · owns F of M••••• L•• · public reporting company
      • S••• A•• A•••• T•••• T•••• · Member
        indirect · owns 25% to 50% of M••••• L••
      Related persons
      Schedule D 7.A
      • A••••• ••••••• G• L••
        pooled vehicle sponsorn
      • M••• G• L••
        pooled vehicle sponsorn
      • M••• M••••••••• L••
        investment advisern
      • M••••• ••••••• M••••••••• L••
        investment advisern
      • M••••• C•••••• L••
        investment advisernRAUM $1.8B
      • M••••• S•• A••••••• L••
        investment advisern
      • M•• I• G• L••
        pooled vehicle sponsorn
      • M•• I• M••••••••• L••
        investment advisern
      • M•• I•• G• L••
        pooled vehicle sponsorn
      • M•• I•• M••••••••• L••
        investment advisern
      • M•• I•• O••••••• G• L••
        pooled vehicle sponsorn
      • S•• A••••••• L••
        investment adviserbanknRAUM $678M
      • S•• A••••••• L••
        investment advisern
      • S••• A•••••••
        investment adviserbanknRAUM $1.8M
      Advisers that list M•• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 32 to 29
        Mar 31, 2019 to May 15, 2020
      • Employees · 67 to 64
        Mar 31, 2019 to May 15, 2020
      • Other offices · 1 to 0
        Mar 31, 2019 to May 15, 2020
      • Discretionary RAUM · $714M to $432M
        Mar 31, 2019 to May 15, 2020
      • RAUM · $714M to $432M
        Mar 31, 2019 to May 15, 2020
      • Advisory employees · 45 to 32
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 85 to 67
        Mar 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $900M to $714M
        Mar 30, 2018 to Mar 31, 2019
      • RAUM · $900M to $714M
        Mar 30, 2018 to Mar 31, 2019
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Employees · 75 to 85
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.0B to $900M
        Mar 30, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $1.0B to $900M
        Mar 30, 2017 to Mar 30, 2018
      • Related bank · false to true
        Mar 30, 2017 to Mar 30, 2018
      • Advisory employees · 40 to 45
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 60 to 75
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $1.2B to $1.0B
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 60 to 40
        Feb 18, 2016 to Mar 30, 2016
      • Employees · 80 to 60
        Feb 18, 2016 to Mar 30, 2016
      • Discretionary RAUM · $1.2B to $1.2B
        Feb 18, 2016 to Mar 30, 2016
      • RAUM · $1.2B to $1.2B
        Feb 18, 2016 to Mar 30, 2016
      • Advisory employees · 40 to 60
        Nov 20, 2014 to Mar 31, 2015
      • Employees · 60 to 80
        Nov 20, 2014 to Mar 31, 2015
      • Discretionary RAUM · $885M to $1.2B
        Nov 20, 2014 to Mar 31, 2015
      • RAUM · $885M to $1.2B
        Nov 20, 2014 to Mar 31, 2015
      • Advisory employees · 28 to 40
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 47 to 60
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $535M to $885M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $535M to $885M
        Apr 1, 2013 to Mar 28, 2014
      Signals
      1 dated events
      • M•• A••••••• L•• reported RAUM $431.8M, down 40% from $714.5M (2019-03-31 to 2020-05-15)
        May 15, 2020 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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