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••••••••• G••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 155670SEC 801-72097IAPD
Latest filing Sep 15, 2020
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$1.5B
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
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$1.5B gross assets
History
16 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2020
Mar 30, 2012$5.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)7 as of Mar 30, 2020
Apr 1, 201361 then
Private funds7 as of Mar 30, 2020
Mar 30, 201214 then
RAUM -7.3% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 2020; 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
$208MderivedRAUM 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
-7.3%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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$1.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      Every departureEvery arrival
      Private funds
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••• I•• T••••• A••• L•••Private Equity Fund$621M233Mar 30, 2012
      M••••••••• G••••• O••••••••• P••••••• I•• L•••Private Equity Fund$340M233Mar 30, 2012
      M•••• ••••••• I•• T••••• A••• L•••Private Equity Fund$184M74Mar 30, 2012
      M••• I••••••• 1•no longer reportedHedge Fund$125M1Mar 30, 2012
      M••••••••• G••••• O••••••••• P••••••• I• L•••Private Equity Fund$110M105Mar 30, 2012
      M••••••••• G••••• O••••••••• P••••••• ••••••• I•• L•••Private Equity Fund$99.2M74Mar 30, 2012
      M••••••••• P••••• R••• R••••••• M••••• F••• L•••no longer reportedHedge Fund$71.3M25Mar 29, 2016
      M• I• P•••••••• P••••••• L•••Private Equity Fund$62.3M36Mar 30, 2012
      M••••••••• G••••• O••••••••• P••••••• ••••••• I• L•••Private Equity Fund$40.3M38Mar 30, 2012
      M••••••••• G••••• O••••••••• M••••• F••• L•••no longer reportedHedge Fund$3.3M51Mar 30, 2012
      M••••••••• G••••• O••••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$1.2M138Mar 30, 2012
      M••••••••• G••••• O••••••••• P••••••• B• L•••no longer reportedPrivate Equity Fund$260,5985Mar 30, 2012
      M••••••••• G••••• O••••••••• P••••••• ••••••••• L•••no longer reportedPrivate Equity Fund$259,68246Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• F•••••• · Chief Financial Officer (04/2019) And Chief Compliance Officer (09/2020)control
        since 09/2020 · owns less than 5%
      • M•••••• D••••• J•••••• · Co-Founder, Chief Executive Officer And Chief Investment Officercontrol
        since 05/2002 · owns less than 5%
      • M•••••• D••••• J•••••• · Managing Member Of M••••••••• L••control
        since 05/2002 · owns 75% or more of M••••••••• L••
      Entity owners
      • M••••••••• P• H••••••• L•• · Managing Member
        direct · owns 75% or more
      • M••••••••• L•• · Sole Member Of M••••••••• P• H••••••• L••
        indirect · owns 75% or more of M••••••••• P• H••••••• L••
      Related persons
      Schedule D 7.A
      • M••••••••• G••••• O••••••••• F••• G• L••
        pooled vehicle sponsorn
      • M••••••••• G••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • M• ••••••• G••••• A••••••• I•• L••
        investment advisern
      • M• ••••••• G••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • M• G•• G• I• L••
        pooled vehicle sponsorn
      • M• P•••••••• P••••••• G• L••
        investment adviserpooled vehicle sponsorn
      Advisers that list M••••••••• G••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 7
        Mar 31, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 2
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 9 to 7
        Mar 31, 2019 to Mar 30, 2020
      • Private funds · 8 to 7
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.6B to $1.5B
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.6B to $1.5B
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $1.6B to $1.5B
        Mar 31, 2019 to Mar 30, 2020
      • Employees · 8 to 7
        Dec 6, 2018 to Mar 31, 2019
      • Discretionary RAUM · $3.7B to $1.6B
        Dec 6, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $3.7B to $1.6B
        Dec 6, 2018 to Mar 31, 2019
      • RAUM · $3.7B to $1.6B
        Dec 6, 2018 to Mar 31, 2019
      • Discretionary RAUM · $3.7B to $3.7B
        Mar 29, 2018 to Apr 10, 2018
      • Pooled vehicle RAUM · $3.7B to $3.7B
        Mar 29, 2018 to Apr 10, 2018
      • RAUM · $3.7B to $3.7B
        Mar 29, 2018 to Apr 10, 2018
      • Accounts · 13 to 9
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 11 to 4
        Mar 31, 2017 to Mar 29, 2018
      • Advisory activities · 2 to 1
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 9.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 27 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 9 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $4.4B to $3.7B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 3673433034.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $4.4B to $3.7B
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 16 to 13
        Mar 29, 2016 to Mar 31, 2017
      • Advisory employees · 12 to 11
        Mar 29, 2016 to Mar 31, 2017
      • Employees · 35 to 27
        Mar 29, 2016 to Mar 31, 2017
      • Private funds · 12 to 9
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $4.3B to $4.4B
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $4.3B to $4.4B
        Mar 29, 2016 to Mar 31, 2017
      • Accounts · 13 to 16
        Mar 31, 2015 to Mar 29, 2016
      • Advisory employees · 18 to 12
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 45 to 35
        Mar 31, 2015 to Mar 29, 2016
      • Private funds · 11 to 12
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $4.0B to $4.3B
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $4.0B to $4.3B
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 12 to 13
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 21 to 18
        Mar 31, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 51 to 45
        Mar 31, 2014 to Mar 31, 2015
      Signals
      4 dated events
      • Howard Robert Weiss (Chief Compliance Officer And General Counsel) no longer on Schedule A of M••••••••• G••••• A••••••• L•• (listed 2020-06-05, absent 2020-09-15)
        Sep 15, 2020 · Control person left · inference
      • Rui Gao (Chief Financial Officer) no longer on Schedule A of M••••••••• G••••• A••••••• L•• (listed 2019-03-31, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Florina Klingbaum (Chief Financial Officer) appeared on Schedule A of M••••••••• G••••• A••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • M••••••••• G••••• A••••••• L•• reported RAUM $1.6B, down 57% from $3.7B (2018-12-06 to 2019-03-31)
        Mar 31, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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