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••••••••• H••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 154100SEC 801-71906IAPD
Latest filing Dec 22, 2011
First filing on the tape Dec 22, 2011 · 1 filings
RAUM
$11B
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
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $11B
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Dec 22, 2011; 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
$656MderivedRAUM 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
unknownderived2 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 assets, otherreportedItem 5.E
Advisory activities
otherreportedItem 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
16reported
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
      • B•••••• P••••• L••••• · Chairmancontrol
        since 06/2010 · owns less than 5%
      • D•••••••• C••••••••• M•••••• · Presidentcontrol
        since 06/2010 · owns less than 5%
      • F•••••••• M•••• K•••• · Chief O•••••••• Officercontrol
        since 06/2010 · owns less than 5%
      • B•••• D•••••• N••• · Authorized Signatory
        since 06/2010 · owns less than 5%
      • B•••••• D••••• N•••••• · Authorized Signatory
        since 06/2010 · owns less than 5%
      • C•••• M••••••• J••••• · Chief Compliance Officer
        since 06/2010 · owns less than 5%
      • C••••••• G••••• P• · Treasurer
        since 06/2010 · owns less than 5%
      • N••••• J••••• K••••••• · Secretary
        since 06/2010 · owns less than 5%
      • R•••••••• A••• · Chief Finanical Officer
        since 06/2010 · owns less than 5%
      Entity owners
      • F••• I• U•• L•• · Member
        direct · owns 75% or more
      • F•• F••• I• G• L•• · General Partner
        indirect · owns F of F••••••• C••••• O••••••••• F••• I• •• L•
      • F•• F••• I• G• L•• · General Partner
        indirect · owns F of F••••••• C••••• O••••••••• F••• I• •• L•••
      • F••• I• C• I••••••••• C•••• · Member
        indirect · owns 75% or more of F••• I• U•• L••
      • F•• C•••• · General Partner
        indirect · owns F of F••••••• O•••••••• E••••• I• L•••
      • F••••••• C••••• O••••••••• F••• I• •• L• · Member
        indirect · owns 25% to 50% of F••• I• U•• L••
      • F••••••• C••••• O••••••••• F••• I• •• L••• · Shareholder
        indirect · owns 75% or more of F••• I• C• I••••••••• C••••
      • F••••••• I••••••••• G•••• L•• · Sole Shareholder
        indirect · owns 75% or more of F•• C•••• · public reporting company
      • F••••••• O•••••••• E••••• I• L••• · Managing Member
        indirect · owns F of H••••• G• H••••••• L••
      • H••••• G• H••••••• L•• · Member
        indirect · owns 75% or more of F•• F••• I• G• L••
      Related persons
      Schedule D 7.A
      • A•• M••••••••• L••
      • Cwci LLC
        RAUM $256M
      • D••••••••• G••••• M•••• A••••••• L••
      • D••••••••• L••• P••••• A••••••• L••
      • D••••••••• L••• D•••• V•••• A••••••• L••
        RAUM $796M
      • D••••••••• R••• A••••• A••••••• L••
      • D••••••••• S•••••• O••••••••• A••••••• L••
      • F•• M• L•• A••••••• L••
      • F•• M• M•••• L••• G• L••
      • F•• A••••••• L••
        RAUM $20.6M
      • F••••••• I••••••••• G••••
        RAUM $87B
      • F• F••••••• A••••••• L••
      • F••••••• A••• M•••• A•••••• L••
      • F••••••• C•••••• F•••••••• L••
      • F••••••• C••••••••• A••••••• L••
      • F••••••• C••••• O••••••••• A••••••• L••
      • F••••••• C••••• O••••••••• M• A••••••• L••
      • F••••••• C••••• O••••••••• M• I• A••••••• L••
      • F••••••• C••••• O••••••••• M• M•••• L••• A••••••• L••
      • F••••••• D•••• A•••• M•••••• L••
      • F••••••• F••• I• A•••••• L••
      • F••••••• F••• I• G• L•••
      • F••••••• F••• M• I• L••
        RAUM $147M
      • F••••••• F••• M• L••
      • F••••••• G••••• O••••••••• •••• A••••••• L••
      • F••••••• I••••••••• G•••• ••••••••• P••• L••
      • F••••••• J•••• O••••••••• M••••••••• L••
      • F••••••• L••• S••••••••• A••••••• L••
      • F••••••• M•••• A••••••• L••
      • F••••••• M••••••• O••••••••• A••••••• L••
      Advisers that list M••••••••• H••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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