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••• C•••••• P•••••••• L••
Latest filing Mar 10, 2021
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$491M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$477M gross assets
History
21 filings and snapshots on the tape
RAUM$491M as of Mar 10, 2021
Mar 30, 2012$473M then
HNW client RAUM: $2.1M
State-registered IARs (5.B.3)0 as of Mar 10, 2021
Mar 28, 20130 then
Employees (5.A)1 as of Mar 10, 2021
Mar 28, 20137 then
Private funds1 as of Mar 10, 2021
Mar 30, 20121 then
RAUM -59% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2021; 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
- $164MderivedRAUM 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
- -59%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
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$491M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• P•••••••• L••• | Hedge Fund | $82.6M | 14 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• M••••••• M••••• · Portfolio Manager/Member/Chief Compliance Officercontrolsince 04/2006 · owns 75% or more
Related persons
Schedule D 7.A
- M••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Jan 8, 2021 to Mar 10, 2021
- Advisory employees · 6 to 1Jan 8, 2021 to Mar 10, 2021
- Pooled vehicle clients · 4 to 3Jan 8, 2021 to Mar 10, 2021
- Employees · 9 to 1Jan 8, 2021 to Mar 10, 2021
- Discretionary RAUM · $1.1B to $491MJan 8, 2021 to Mar 10, 2021
- Pooled vehicle RAUM · $1.1B to $491MJan 8, 2021 to Mar 10, 2021
- RAUM · $1.1B to $491MJan 8, 2021 to Mar 10, 2021
- HQ city · NEW YORK to unsetOct 15, 2020 to Jan 8, 2021
- HQ state · NY to unsetOct 15, 2020 to Jan 8, 2021
- Accounts · 5 to 4Mar 23, 2020 to Oct 15, 2020
- Advisory activities · 2 to 1Mar 23, 2020 to Oct 15, 2020
- HNW clients · 1.0 to unsetMar 23, 2020 to Oct 15, 2020
- Discretionary RAUM · $1.2B to $1.1BMar 23, 2020 to Oct 15, 2020
- HNW RAUM · 2085863.0 to unsetMar 23, 2020 to Oct 15, 2020
- Pooled vehicle RAUM · $1.2B to $1.1BMar 23, 2020 to Oct 15, 2020
- RAUM · $1.2B to $1.1BMar 23, 2020 to Oct 15, 2020
- Advisory employees · 7 to 6Jan 7, 2020 to Mar 23, 2020
- Advisory activities · 1 to 2Jan 7, 2020 to Mar 23, 2020
- HNW clients · unset to 1.0Jan 7, 2020 to Mar 23, 2020
- Pooled vehicle clients · 5 to 4Jan 7, 2020 to Mar 23, 2020
- Employees · 10 to 9Jan 7, 2020 to Mar 23, 2020
- Discretionary RAUM · $1.2B to $1.2BJan 7, 2020 to Mar 23, 2020
- HNW RAUM · unset to 2085863.0Jan 7, 2020 to Mar 23, 2020
- Pooled vehicle RAUM · $1.2B to $1.2BJan 7, 2020 to Mar 23, 2020
- RAUM · $1.2B to $1.2BJan 7, 2020 to Mar 23, 2020
- Discretionary RAUM · $1.2B to $1.2BMar 27, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $1.2B to $1.2BMar 27, 2018 to Mar 27, 2019
- RAUM · $1.2B to $1.2BMar 27, 2018 to Mar 27, 2019
- Accounts · 32 to 5Jan 10, 2018 to Mar 27, 2018
- Advisory employees · 6 to 7Jan 10, 2018 to Mar 27, 2018
- Advisory activities · 3 to 1Jan 10, 2018 to Mar 27, 2018
- Pooled vehicle clients · unset to 5.0Jan 10, 2018 to Mar 27, 2018
- Employees · 9 to 10Jan 10, 2018 to Mar 27, 2018
- Discretionary RAUM · $907M to $1.2BJan 10, 2018 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 1189404950.0Jan 10, 2018 to Mar 27, 2018
- RAUM · $907M to $1.2BJan 10, 2018 to Mar 27, 2018
- Other offices · unset to 0.0Jul 6, 2017 to Jan 10, 2018
- Related adviser · true to falseJul 6, 2017 to Jan 10, 2018
- Accounts · 33 to 32Mar 28, 2016 to Mar 28, 2017
- Advisory employees · 5 to 6Mar 28, 2016 to Mar 28, 2017
Signals
4 dated events
- Hillard Chad Goldstein (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of M••• C•••••• P•••••••• L•• (listed 2021-01-08, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- M••• C•••••• P•••••••• L•• reported RAUM $491.2M, down 57% from $1.1B (2021-01-08 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
- Alex David Sackler (Passive Owner) no longer on Schedule A of M••• C•••••• P•••••••• L•• (listed 2019-03-27, absent 2020-01-07)Jan 7, 2020 · Control person left · inference
- M••• C•••••• P•••••••• L•• reported RAUM $1.2B, up 31% from $906.8M (2018-01-10 to 2018-03-27)Mar 27, 2018 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/5356787reportedpublic record, Form ADV, Sep 19, 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
- 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