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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SEC-registered adviser
M••••••• L••• I••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Jan 3, 2011
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
35%
$69.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$199M as of Mar 27, 2026
Mar 30, 2012$237M then
HNW client RAUM$69.0M as of Mar 27, 2026
Mar 27, 2025$38.5M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 27, 20135 then
Private funds1 as of Mar 27, 2026
Mar 30, 20121 then
RAUM +20% over the last fiscal year+0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $9.5MderivedRAUM 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
- +20%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- 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$130M65%
- High-net-worth individuals$69.0M35%
- Individual clients
- n/areported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.35 fund_share=0.65 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• L••• P••••••• L• | Other Private Fund | $160M | 68 | Mar 30, 2012 |
| M••••••• L••• R••• E••••• F••• I• L•no longer reported | Real Estate Fund | $7.0M | 43 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••••••• E••••• · Membercontrolsince 06/2001 · owns 25% to 50%
- C••••• E•••••• Y•••••••• · Chief Financial Officer & Chief Compliance Officercontrolsince 05/2012 · owns 5% to 10%
- C•••••••• P•••••••• J••••••• · Membercontrolsince 01/2004 · owns 25% to 50%
- M•••••••• R•••••• R••••• · Investor Relationssince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- K••••••• G•••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 21Mar 27, 2025 to Mar 27, 2026
- HNW clients · 16 to 20Mar 27, 2025 to Mar 27, 2026
- Employees · 5 to 6Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $166M to $199MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $38.5M to $69.0MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $127M to $130MMar 27, 2025 to Mar 27, 2026
- RAUM · $166M to $199MMar 27, 2025 to Mar 27, 2026
- Accounts · 1 to 17Mar 15, 2024 to Mar 27, 2025
- Advisory employees · 3 to 2Mar 15, 2024 to Mar 27, 2025
- Advisory activities · 1 to 2Mar 15, 2024 to Mar 27, 2025
- HNW clients · unset to 16.0Mar 15, 2024 to Mar 27, 2025
- Employees · 3 to 5Mar 15, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 27, 2025
- HQ city · unset to Mar 15, 2024 to Mar 27, 2025
- HQ state · unset to Mar 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $160M to $166MMar 15, 2024 to Mar 27, 2025
- HNW RAUM · unset to 38494605.0Mar 15, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $160M to $127MMar 15, 2024 to Mar 27, 2025
- RAUM · $160M to $166MMar 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $199M to $160MMar 16, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $199M to $160MMar 16, 2023 to Mar 15, 2024
- RAUM · $199M to $160MMar 16, 2023 to Mar 15, 2024
- Other offices · 1 to 0Mar 28, 2022 to Mar 16, 2023
- Discretionary RAUM · $187M to $199MMar 28, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $187M to $199MMar 28, 2022 to Mar 16, 2023
- RAUM · $187M to $199MMar 28, 2022 to Mar 16, 2023
- HQ city · MILL VALLEY to unsetMar 29, 2021 to Mar 28, 2022
- HQ state · CA to unsetMar 29, 2021 to Mar 28, 2022
- Other offices · 0 to 1Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $150M to $187MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $150M to $187MMar 29, 2021 to Mar 28, 2022
- RAUM · $150M to $187MMar 29, 2021 to Mar 28, 2022
- Accounts · 2 to 1Mar 23, 2020 to Mar 29, 2021
- Pooled vehicle clients · 2 to 1Mar 23, 2020 to Mar 29, 2021
- Private funds · 2 to 1Mar 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $156M to $150MMar 23, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $156M to $150MMar 23, 2020 to Mar 29, 2021
- RAUM · $156M to $150MMar 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $274M to $156MMar 29, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $274M to $156MMar 29, 2019 to Mar 23, 2020
Signals
1 dated events
- M••••••• L••• I••••••••• M••••••••• L•• reported RAUM $156.3M, down 43% from $274.1M (2019-03-29 to 2020-03-23)Mar 23, 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.
How to reach
public business contact points only, each with its source
- Website
- M•••••••L•••INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-322-6200reportedpublic record, Form ADV, Mar 27, 2026
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
- Wealth manager with institutional or fund businessderiveda 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
Across the graphs
M••••••• L••• I••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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