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•••• K•••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 157557SEC 801-73721IAPD
Latest filing Mar 31, 2023
First filing on the tape Feb 14, 2012 · 28 filings
RAUM
$351M
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
24
$628M gross assets
History
28 filings and snapshots on the tape
RAUM$351M as of Mar 31, 2023
Apr 1, 2013$7.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)1 as of Mar 31, 2023
Apr 1, 2013113 then
Private funds24 as of Mar 31, 2023
Apr 1, 201316 then
RAUM -43% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$14.0MderivedRAUM 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
-43%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$351M, 25 clientsreportedItem 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
  • 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)
  • 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$351M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$351M for 25 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••• M• T•• L•••Private Equity Fund$18.0M2Aug 1, 2014
      M•••••• A••••••• M••••• F••• S••••••• • M•• 1•Private Equity Fund$8.1M0Mar 28, 2013
      M••• C• T•• L•••no longer reportedPrivate Equity Fund$625,4921Aug 1, 2014
      M•••• K••••• A••• P••••••• •••••••• L•••no longer reportedHedge Fund$00Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• M•••• E••••• · Principal And Global Chief Investment Officer (M•••• K•••••• C•••••• M••••••••• L•)control
        since 08/2008 · owns 75% or more
      • M••••••••• M•••• E••••• · Managing Membercontrol
        since 04/2008 · owns 75% or more of M•••• K•••••• C•••••• M••••••••• G• L••
      • W••••• A•••••• J••• · Chief Compliance Officer (M•••• K•••••• C•••••• M••••••••• L•)
        since 03/2016 · owns less than 5%
      • W••••• N•••••••• H•••• · Limited Partner (M•••• K•••••• C•••••• M••••••••• L•)
        since 09/2009 · owns 5% to 10%
      Entity owners
      • M•••• K•••••• C•••••• M••••••••• G• L•• · General Partner (M•••• K•••••• C•••••• M••••••••• L•)
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • L••••• F••• G• I• L••
        bankpooled vehicle sponsorn
      • L••••• F••• G• L••
        bankpooled vehicle sponsorn
      • M••• T• G•• L••
        bankpooled vehicle sponsorn
      • M•••• K•••••• C•••••• P••••••• G• I•• L••
        bankpooled vehicle sponsorn
      • M•••• K•••••• C•••••• P••••••• G• I••• L••
        bankpooled vehicle sponsorn
      • M•••• K•••••• C•••••• P••••••• G• L••
        bankpooled vehicle sponsorn
      • V•••• F••• G• U••••••••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $617M to $351M
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $617M to $351M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $617M to $351M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $617M to $351M
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · $640M to $617M
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $640M to $617M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $640M to $617M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $640M to $617M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 26 to 25
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 26 to 25
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $867M to $640M
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 25 to 24
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $867M to $640M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $867M to $640M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $867M to $640M
        Mar 30, 2020 to Mar 31, 2021
      • Related adviser · true to false
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $1.4B to $867M
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.4B to $867M
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.4B to $867M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $1.4B to $867M
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $1.8B to $1.4B
        Dec 4, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.8B to $1.4B
        Dec 4, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.8B to $1.4B
        Dec 4, 2018 to Mar 28, 2019
      • RAUM · $1.8B to $1.4B
        Dec 4, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 26.0
        May 1, 2017 to Mar 30, 2018
      • Assets in custody · $2.1B to $1.8B
        May 1, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Discretionary RAUM · $2.1B to $1.8B
        May 1, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 1829747721.0
        May 1, 2017 to Mar 30, 2018
      • RAUM · $2.1B to $1.8B
        May 1, 2017 to Mar 30, 2018
      • Advisory employees · 2 to 1
        Jul 29, 2016 to Mar 30, 2017
      • Assets in custody · $3.2B to $2.1B
        Jul 29, 2016 to Mar 30, 2017
      • Employees · 2 to 1
        Jul 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $3.2B to $2.1B
        Jul 29, 2016 to Mar 30, 2017
      • RAUM · $3.2B to $2.1B
        Jul 29, 2016 to Mar 30, 2017
      • Accounts · 21 to 26
        Oct 6, 2015 to Mar 30, 2016
      • Advisory employees · 51 to 2
        Oct 6, 2015 to Mar 30, 2016
      • Assets in custody · $5.1B to $3.2B
        Oct 6, 2015 to Mar 30, 2016
      • Employees · 120 to 2
        Oct 6, 2015 to Mar 30, 2016
      • Private funds · 21 to 25
        Oct 6, 2015 to Mar 30, 2016
      Signals
      4 dated events
      • M•••• K•••••• C•••••• M••••••••• L• reported RAUM $350.7M, down 43% from $617.3M (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • M•••• K•••••• C•••••• M••••••••• L• reported RAUM $640.2M, down 26% from $867.3M (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • M•••• K•••••• C•••••• M••••••••• L• reported RAUM $867.3M, down 36% from $1.4B (2019-03-28 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • M•••• K•••••• C•••••• M••••••••• L• reported RAUM $1.4B, down 26% from $1.8B (2018-12-04 to 2019-03-28)
        Mar 28, 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