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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
M•••••••• L•••
Latest filing Mar 21, 2014
First filing on the tape Jan 17, 2012 · 7 filings
RAUM
$208M
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
12
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$208M as of Mar 21, 2014
Feb 13, 2013$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2014
Feb 13, 20130 then
Employees (5.A)12 as of Mar 21, 2014
Feb 13, 201312 then
Private funds: no history
RAUM -19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2014; 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
- -19%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 pooled vehiclesreportedItem 5.G
- Custody
- $198M, 1 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)
- 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
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $198M for 1 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• T••••••• · Cfo; Limited Partnercontrolsince 11/2004 · owns less than 5%
- H•••• V•• Z•••• · Limited Partnercontrolsince 01/2014 · owns 10% to 25%
- H•••••• J•••••• M•••••• · Limited Partnercontrolsince 11/2004 · owns less than 5%
- J••••••• T••••••• D••••• · Ceo; Limited Partnercontrolsince 11/2004 · owns 10% to 25%
- M•••••••• J•••• L•••• · Limited Partnercontrolsince 11/2004 · owns 5% to 10%
- H••••••••• G••••• N•••••• · Chief Compliance Officersince 01/2014 · owns less than 5%
Entity owners
- M••••••• U••••••• G••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- G•••••• H••• J•••••• • M••••••• I•••••••••investment adviserpooled vehicle sponsornRAUM $232M
Advisers that list M•••••••• L••• as a related person
- 157582 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $271M to $198MApr 24, 2013 to Mar 21, 2014
- Discretionary RAUM · $304M to $208MApr 24, 2013 to Mar 21, 2014
- RAUM · $304M to $208MApr 24, 2013 to Mar 21, 2014
- Assets in custody · $247M to $271MFeb 19, 2013 to Mar 22, 2013
- Discretionary RAUM · $296M to $304MFeb 19, 2013 to Mar 22, 2013
- RAUM · $296M to $304MFeb 19, 2013 to Mar 22, 2013
- Discretionary RAUM · $255M to $296MFeb 13, 2013 to Feb 19, 2013
- RAUM · $255M to $296MFeb 13, 2013 to Feb 19, 2013
- Advisory employees · unset to 8.0Jan 17, 2012 to Feb 13, 2013
- BD registered reps · unset to 0.0Jan 17, 2012 to Feb 13, 2013
- Assets in custody · $373M to $247MJan 17, 2012 to Feb 13, 2013
- Employees · unset to 12.0Jan 17, 2012 to Feb 13, 2013
- State-registered IARs · unset to 0.0Jan 17, 2012 to Feb 13, 2013
- Discretionary RAUM · $383M to $255MJan 17, 2012 to Feb 13, 2013
- RAUM · $383M to $255MJan 17, 2012 to Feb 13, 2013
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