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Former SEC-registered adviser

M•••••• A•••••••• L••

Former SEC-registered adviserFairway, KansasCRD 155351SEC 801-71965IAPD
Latest filing May 1, 2018
First filing on the tape Jan 30, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Apr 25, 2017
Mar 29, 2016$2 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2018
Jul 16, 20130 then
Employees (5.A)3 as of May 1, 2018
Jul 16, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
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
      • L•••••••• R•••••• · Chief Executive Officercontrol
        since 06/2016 · owns less than 5%
      • L•••••••• R•••••• · Chief Executive Officercontrol
        since 11/2014 · owns 50% to 75% of M••••• 3•• H•••••• LLC
      • A•••••• T•••••• P••• · Chief Legal Officer
        since 03/2017 · owns less than 5%
      • R••••••• S••••••• R•••• · Chief Compliance Officer
        since 03/2017 · owns less than 5%
      Entity owners
      • M••••• 3•• H••••••• L•• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Apr 20, 2018 to May 1, 2018
      • BD registered reps · 1 to 0
        Apr 20, 2018 to May 1, 2018
      • Discretionary RAUM · 0.0 to unset
        Apr 20, 2018 to May 1, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Apr 20, 2018 to May 1, 2018
      • RAUM · 0.0 to unset
        Apr 20, 2018 to May 1, 2018
      • BD registered reps · 0 to 1
        Aug 30, 2017 to Apr 20, 2018
      • Charity clients · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • Corporate clients · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • HNW clients · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • Individual clients · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • Pension plan clients · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • Pooled vehicle clients · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • Other offices · unset to 0.0
        Aug 30, 2017 to Apr 20, 2018
      • Advisory employees · 3 to 0
        Jun 20, 2017 to Aug 30, 2017
      • Advisory activities · 3 to 1
        Jun 20, 2017 to Aug 30, 2017
      • Business name · M••••• 3•• A••••••• L•• to M•••••• A•••••••• L••
        Jun 20, 2017 to Aug 30, 2017
      • Employees · 7 to 3
        Jun 20, 2017 to Aug 30, 2017
      • HQ city · KANSAS CITY to FAIRWAY
        Jun 20, 2017 to Aug 30, 2017
      • HQ state · MO to KS
        Jun 20, 2017 to Aug 30, 2017
      • Advisory employees · 0 to 3
        Apr 26, 2017 to Jun 20, 2017
      • Advisory activities · 1 to 3
        Apr 26, 2017 to Jun 20, 2017
      • Employees · 3 to 7
        Apr 26, 2017 to Jun 20, 2017
      • Accounts · 1 to 0
        Mar 29, 2016 to Apr 25, 2017
      • Advisory employees · 1 to 0
        Mar 29, 2016 to Apr 25, 2017
      • Employees · 1 to 3
        Mar 29, 2016 to Apr 25, 2017
      • Financial planning clients · unset to 0
        Mar 29, 2016 to Apr 25, 2017
      • HQ city · NEW YORK to KANSAS CITY
        Mar 29, 2016 to Apr 25, 2017
      • HQ state · NY to MO
        Mar 29, 2016 to Apr 25, 2017
      • Legal name · M••••• 3•• A••••••• L•• to M•••••• A•••••••• L••
        Mar 29, 2016 to Apr 25, 2017
      • Discretionary RAUM · $2 to $0
        Mar 29, 2016 to Apr 25, 2017
      • RAUM · $2 to $0
        Mar 29, 2016 to Apr 25, 2017
      • Related adviser · true to false
        Mar 29, 2016 to Apr 25, 2017
      • Accounts · unset to 1.0
        Mar 30, 2015 to Mar 29, 2016
      • BD registered reps · 1 to 0
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · unset to 2.0
        Mar 30, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · unset to 0.0
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · unset to 2.0
        Mar 30, 2015 to Mar 29, 2016
      • HQ city · KANSAS CITY to NEW YORK
        Dec 17, 2014 to Mar 30, 2015
      • HQ state · MO to NY
        Dec 17, 2014 to Mar 30, 2015
      • Advisory employees · 2 to 1
        Feb 5, 2014 to Dec 17, 2014
      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