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••••••••• E••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 154390SEC 801-79057IAPD
Latest filing Mar 29, 2018
First filing on the tape Jan 6, 2014 · 11 filings
RAUM
$283M
reported, Item 5.F
Discretionary
46%
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
13
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$130M gross assets
History
11 filings and snapshots on the tape
RAUM$283M as of Mar 29, 2018
Feb 25, 2015$87.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Feb 25, 20150 then
Employees (5.A)13 as of Mar 29, 2018
Feb 25, 20159 then
Private funds7 as of Mar 29, 2018
Feb 25, 201516 then
RAUM +24% over the last fiscal year+48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$13.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
46%derivedof RAUM
Institutional
5.2%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
+24%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$156M55%
  • Corporations and businesses$112M40%
  • Insurance companies$14.6M5.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      Every departureEvery arrival
      Private funds
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• E••••• L• • C•••• C•no longer reportedPrivate Equity Fund$8.3M38Jan 6, 2014
      M••••••••• E••••• L•no longer reportedHedge Fund$5.0M54Jan 6, 2014
      M••••••••• E••••• L• • C•••• B•no longer reportedPrivate Equity Fund$4.1M44Jan 6, 2014
      M••••••••• E•••• L•• • C•••• B•no longer reportedPrivate Equity Fund$2.9M19Jan 6, 2014
      M••••••••• E•••• L•• • C•••• B•no longer reportedPrivate Equity Fund$2.4M25Jan 6, 2014
      M••••••••• V•••••• P••••••• I•• L•no longer reportedPrivate Equity Fund$2.4M7Feb 25, 2015
      M••••••••• P••••••• F••• I•• L• • C•••• B•no longer reportedPrivate Equity Fund$1.8M9Jan 6, 2014
      M••••••••• E••••• L•• • C•••• B•no longer reportedPrivate Equity Fund$1.3M28Jan 6, 2014
      M••••••••• E••••• L••Private Equity Fund$1.1M20Jan 6, 2014
      M••••••••• E••••• L•no longer reportedPrivate Equity Fund$985,0001Jan 6, 2014
      M••••••••• E••••• L•• • C•••• B•no longer reportedPrivate Equity Fund$742,19421Jan 6, 2014
      M••••••••• E••••• L••Private Equity Fund$264,47552Jan 6, 2014
      M••••••••• E••••• L•no longer reportedPrivate Equity Fund$198,9167Jan 6, 2014
      M••••••••• E•••• L•• • C•••• A•no longer reportedPrivate Equity Fund$90,00010Jan 6, 2014
      M••••••••• E••••• L••no longer reportedPrivate Equity Fund$79,32522Jan 6, 2014
      M••••••••• E••••• L•no longer reportedPrivate Equity Fund$42,17318Jan 6, 2014
      M••••••••• E•••• L••no longer reportedPrivate Equity Fund$07Jan 6, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• A•••••• G••••• · Managing Membercontrol
        since 10/2007 · owns 25% to 50%
      • C••••••• E•••• D••••• · Chief Financial Officer, Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • L•••••• P•••• K•••••• · Managing Membercontrol
        since 10/2007 · owns 50% to 75%
      • J•••••••• D••••••• C•••• · Membercontrol
        since 05/2009 · owns 75% or more of J• P•••••••• D••• E••••••• L••
      Entity owners
      • J• P•••••••• D••• E••••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • M••••••••• G• H••••••• L••• S••••• M•••••
        pooled vehicle sponsorn
      • M••••••••• G• H••••••• L••• S••••• M•••••
        pooled vehicle sponsorn
      • M••••••••• G• H••••••• L••• S••••• M•••• I•
        pooled vehicle sponsorn
      • M••••••••• G• H••••••• L••• S••••• M•• I•
        pooled vehicle sponsorn
      • M•• I•• G•• L••
        pooled vehicle sponsorn
      • M•• I• G•• L••
        pooled vehicle sponsorn
      • M•• I••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 21
        Jul 12, 2017 to Mar 29, 2018
      • Advisory employees · 9 to 13
        Jul 12, 2017 to Mar 29, 2018
      • Corporate clients · unset to 12.0
        Jul 12, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 8.0
        Jul 12, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Jul 12, 2017 to Mar 29, 2018
      • Employees · 9 to 13
        Jul 12, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 12, 2017 to Mar 29, 2018
      • Private funds · 8 to 7
        Jul 12, 2017 to Mar 29, 2018
      • Discretionary RAUM · $74.5M to $130M
        Jul 12, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $221M to $153M
        Jul 12, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 155999677.0
        Jul 12, 2017 to Mar 29, 2018
      • RAUM · $296M to $283M
        Jul 12, 2017 to Mar 29, 2018
      • Accounts · 14 to 18
        Mar 30, 2017 to May 4, 2017
      • Private funds · 6 to 8
        Mar 30, 2017 to May 4, 2017
      • Discretionary RAUM · $45.5M to $74.5M
        Mar 30, 2017 to May 4, 2017
      • Non-discretionary RAUM · $182M to $221M
        Mar 30, 2017 to May 4, 2017
      • RAUM · $227M to $296M
        Mar 30, 2017 to May 4, 2017
      • Accounts · 15 to 14
        Nov 29, 2016 to Mar 30, 2017
      • Advisory activities · 2 to 3
        Nov 29, 2016 to Mar 30, 2017
      • Custody of client assets · true to false
        Nov 29, 2016 to Mar 30, 2017
      • Private funds · 9 to 6
        Nov 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $52.3M to $45.5M
        Nov 29, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $151M to $182M
        Nov 29, 2016 to Mar 30, 2017
      • RAUM · $204M to $227M
        Nov 29, 2016 to Mar 30, 2017
      • Employees · 10 to 9
        Oct 5, 2016 to Nov 29, 2016
      • Discretionary RAUM · $58.4M to $52.3M
        Oct 5, 2016 to Nov 29, 2016
      • Non-discretionary RAUM · $110M to $151M
        Oct 5, 2016 to Nov 29, 2016
      • RAUM · $169M to $204M
        Oct 5, 2016 to Nov 29, 2016
      • Accounts · 13 to 15
        Mar 30, 2016 to Oct 5, 2016
      • Advisory employees · 8 to 9
        Mar 30, 2016 to Oct 5, 2016
      • Employees · 8 to 10
        Mar 30, 2016 to Oct 5, 2016
      • Private funds · 8 to 9
        Mar 30, 2016 to Oct 5, 2016
      • Discretionary RAUM · $43.9M to $58.4M
        Mar 30, 2016 to Oct 5, 2016
      • Non-discretionary RAUM · $141M to $110M
        Mar 30, 2016 to Oct 5, 2016
      • RAUM · $185M to $169M
        Mar 30, 2016 to Oct 5, 2016
      • Accounts · 17 to 13
        Feb 25, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 8
        Feb 25, 2015 to Mar 30, 2016
      • Assets in custody · $75.4M to $0
        Feb 25, 2015 to Mar 30, 2016
      • Employees · 9 to 8
        Feb 25, 2015 to Mar 30, 2016
      • Private funds · 16 to 8
        Feb 25, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • M••••••••• E••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 6, 2014 · First SEC registration · fact
      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