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M•••••• C•••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $1.1B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$1.1B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-15%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 155562 · SEC 801-78143 · 21 filingsShow
CRD 155562SEC 801-78143Legal name M•••••• C•••••• M••••••••• L••First filing on the tape May 28, 2013, latest Jan 27, 2021IAPD
RAUM
$1.1B
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.1B as of Mar 3, 2020
Feb 26, 2014$198M then
HNW client RAUM$248,267 as of Mar 3, 2020
Mar 27, 2018$206,236 then
State-registered IARs (5.B.3)0 as of Mar 3, 2020
Feb 26, 20145 then
Employees (5.A)8 as of Mar 3, 2020
Feb 26, 20146 then
Private funds1 as of Mar 27, 2018
Feb 26, 20141 then
RAUM -15% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 27, 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
$41.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
89%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
-15%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 individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$815M77%
  • Pension and profit-sharing plans$140M13%
  • Corporations and businesses$81.5M7.7%
  • Pooled investment vehicles$18.6M1.8%
  • Charitable organizations$4.7M0.4%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
26reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    M•••••• M••••• N•••••• U••• P••• L•no longer reportedHedge Fund$59.4M14May 28, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• N••••••••• E••• · Principalcontrol
      since 07/2010 · owns 10% to 25%
    • K•••• S•••••• P• · Principalcontrol
      since 07/2010 · owns 25% to 50%
    • M•••••• V••••••• F• · Managing Principalcontrol
      since 07/2010 · owns 25% to 50%
    • C•••••• M••••• Z• · Principal
      since 01/2012 · owns 5% to 10%
    • C••••••• R••••• M• · Principal
      since 01/2012 · owns 5% to 10%
    • M••••••• M••••••• H••• · Chief Compliance Officer
      since 09/2018 · owns less than 5%
    Related persons
    Schedule D 7.A
    • M•••••• A••••••• I• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW RAUM · $248,267 to $0
      Jun 1, 2020 to Oct 16, 2020
    • Accounts · 33 to 26
      Apr 15, 2019 to Mar 3, 2020
    • Individual clients · unset to 0.0
      Apr 15, 2019 to Mar 3, 2020
    • Pension plan clients · 4.0 to unset
      Apr 15, 2019 to Mar 3, 2020
    • Pooled vehicle clients · 0 to 1
      Apr 15, 2019 to Mar 3, 2020
    • Discretionary RAUM · $1.3B to $1.1B
      Apr 15, 2019 to Mar 3, 2020
    • HNW RAUM · $196,616 to $248,267
      Apr 15, 2019 to Mar 3, 2020
    • Pension RAUM · $131M to $140M
      Apr 15, 2019 to Mar 3, 2020
    • Pooled vehicle RAUM · $0 to $18.6M
      Apr 15, 2019 to Mar 3, 2020
    • RAUM · $1.3B to $1.1B
      Apr 15, 2019 to Mar 3, 2020
    • Advisory activities · 2 to 3
      Mar 21, 2019 to Apr 15, 2019
    • Accounts · 30 to 33
      Sep 21, 2018 to Mar 21, 2019
    • Advisory employees · 3 to 4
      Sep 21, 2018 to Mar 21, 2019
    • Advisory activities · 3 to 2
      Sep 21, 2018 to Mar 21, 2019
    • Pension plan clients · unset to 4.0
      Sep 21, 2018 to Mar 21, 2019
    • Pooled vehicle clients · 1 to 0
      Sep 21, 2018 to Mar 21, 2019
    • Employees · 7 to 8
      Sep 21, 2018 to Mar 21, 2019
    • Private funds · 1 to unset
      Sep 21, 2018 to Mar 21, 2019
    • Discretionary RAUM · $1.3B to $1.3B
      Sep 21, 2018 to Mar 21, 2019
    • HNW RAUM · $206,236 to $196,616
      Sep 21, 2018 to Mar 21, 2019
    • Pension RAUM · $125M to $131M
      Sep 21, 2018 to Mar 21, 2019
    • Pooled vehicle RAUM · $59.4M to $0
      Sep 21, 2018 to Mar 21, 2019
    • RAUM · $1.3B to $1.3B
      Sep 21, 2018 to Mar 21, 2019
    • Accounts · 24 to 30
      Sep 12, 2017 to Feb 8, 2018
    • Pooled vehicle clients · unset to 1.0
      Sep 12, 2017 to Feb 8, 2018
    • HQ city · STAMFORD to NEW YORK
      Sep 12, 2017 to Feb 8, 2018
    • HQ state · CT to NY
      Sep 12, 2017 to Feb 8, 2018
    • Other offices · unset to 0.0
      Sep 12, 2017 to Feb 8, 2018
    • Discretionary RAUM · $934M to $1.3B
      Sep 12, 2017 to Feb 8, 2018
    • HNW RAUM · unset to 206236.0
      Sep 12, 2017 to Feb 8, 2018
    • Individual RAUM · unset to 0.0
      Sep 12, 2017 to Feb 8, 2018
    • Pension RAUM · unset to 125387528.0
      Sep 12, 2017 to Feb 8, 2018
    • Pooled vehicle RAUM · unset to 59449906.0
      Sep 12, 2017 to Feb 8, 2018
    • RAUM · $934M to $1.3B
      Sep 12, 2017 to Feb 8, 2018
    • State-registered IARs · 5 to 0
      Mar 15, 2017 to Sep 12, 2017
    • Discretionary RAUM · $941M to $934M
      Mar 15, 2017 to Sep 12, 2017
    • RAUM · $941M to $934M
      Mar 15, 2017 to Sep 12, 2017
    • Accounts · 18 to 24
      Mar 23, 2016 to Mar 15, 2017
    • Employees · 6 to 7
      Mar 23, 2016 to Mar 15, 2017
    • Discretionary RAUM · $704M to $941M
      Mar 23, 2016 to Mar 15, 2017
    Signals
    2 dated events
    • ••• Locked
      Feb 8, 2018 · RAUM change · derived
    • ••• Locked
      May 28, 2013 · First SEC registration · 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