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•••• M••••••••• L••

Former SEC-registered adviserPalm Beach Gardens, FloridaCRD 155135SEC 801-72069IAPD
Latest filing May 30, 2013
First filing on the tape Jan 20, 2012 · 8 filings
RAUM
$4.2M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$4.2M as of Mar 1, 2013
Jan 20, 2012$4.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 1, 2013
Jan 20, 20120 then
Employees (5.A): 4
Private funds: no history
RAUM +5.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 30, 2013; 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
$527,464derivedRAUM 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
+5.5%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
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
8reported
Financial planning clients
0reported
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
      • N••••• C••••• · Chief Compliance Officer
        since 10/2012 · owns less than 5%
      • A••••••• M•••• · Managing Member
        since 05/2009 · owns 25% to 50% of Ma Capital Management LLC
      • N••••• C••••• · Managing Member
        since 10/2012 · owns F of M• C•••••• M••••••••• L••
      • S•••••••• Z••••••• N•• · Managing Member
        since 10/2012 · owns F of M• C•••••• M••••••••• L••
      • S••••••• J••••• M••• · Managing Member
        since 10/2012 · owns 25% to 50% of M• C•••••• M••••••••• L••
      Entity owners
      • M• C•••••• M••••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • M• C•••••• M••••••••• L••
        banky
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 8
        Nov 19, 2012 to Mar 1, 2013
      • Advisory employees · 1 to 3
        Nov 19, 2012 to Mar 1, 2013
      • Employees · 1 to 4
        Nov 19, 2012 to Mar 1, 2013
      • Discretionary RAUM · $4.0M to $4.2M
        Nov 19, 2012 to Mar 1, 2013
      • RAUM · $4.0M to $4.2M
        Nov 19, 2012 to Mar 1, 2013
      • Succession · true to false
        Nov 12, 2012 to Nov 15, 2012
      • Organization form · Corporation to Limited Liability Company
        Nov 5, 2012 to Nov 12, 2012
      • Related bank · false to true
        Nov 5, 2012 to Nov 12, 2012
      • Business name · W••••• S••••• I••• to M• A•••• M••••••••• L••
        Nov 12, 2012 to Nov 12, 2012
      • HQ city · unset to PALM BEACH GARDENS
        Nov 12, 2012 to Nov 12, 2012
      • HQ state · unset to FL
        Nov 12, 2012 to Nov 12, 2012
      • Legal name · W••••• S••••• I••• to M• A•••• M••••••••• L••
        Nov 12, 2012 to Nov 12, 2012
      • Succession · false to true
        Nov 12, 2012 to Nov 12, 2012
      • Advisory employees · unset to 1.0
        Jan 20, 2012 to Nov 5, 2012
      • Employees · unset to 1.0
        Jan 20, 2012 to Nov 5, 2012
      Signals
      1 dated events
      • M• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 12, 2012 · Succession (Item 4) · fact
      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