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•••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2022
First filing on the tape Feb 13, 2012 · 15 filings
RAUM
$4.1M
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
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$4.1M gross assets
History
15 filings and snapshots on the tape
RAUM$4.1M as of Mar 31, 2022
Mar 28, 2013$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20130 then
Employees (5.A)10 as of Mar 31, 2022
Mar 28, 201325 then
Private funds2 as of Mar 31, 2022
Mar 28, 20134 then
RAUM -98% over the last fiscal year-76% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
- $1.4MderivedRAUM 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
- -98%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 vehicles, otherreportedItem 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
- 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)
- 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$4.1M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• I••••••••• L•• | Private Equity Fund | $123M | 3 | Mar 5, 2019 |
| M•••••• C•••••• S•• I•• L• | Private Equity Fund | $4.2M | 21 | Mar 29, 2018 |
| M•••••• C•••••• E••••• P••••••• I••• L••• | Private Equity Fund | $3.9M | 55 | Feb 13, 2012 |
| M•••••• C•••••• C••••••••• I••• L•no longer reported | Private Equity Fund | $3.0M | 20 | Apr 29, 2013 |
| M•••••• C•••••• E••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $1.7M | 102 | Feb 13, 2012 |
| M•••••• C•••••• E••••• P••••••• •••• I••• L••• | Private Equity Fund | $188,644 | 9 | Feb 13, 2012 |
| M•••••• C•••••• E••••• P••••••• •••• I•• L•••no longer reported | Private Equity Fund | $58,951 | 12 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• A•••• S••• · Partnercontrolsince 03/2008 · owns less than 5%
- E••••• A••••• E•••••••• · Chief Compliance Officer, Chief Financial Officer, Partnercontrolsince 01/2005 · owns less than 5%
- L••••• P••••• S•••••• · Partnercontrolsince 03/2003 · owns less than 5%
- L•••••• S••••••• A••••• · Partnercontrolsince 01/2013 · owns less than 5%
- M•••• T•••••• T••••••••• · Partnercontrolsince 03/2003 · owns less than 5%
- M•••• T•••••• R•••••• · Partnercontrolsince 03/2003 · owns less than 5%
- Y•••• C•••••• R• · Partnercontrolsince 03/2008 · owns less than 5%
- Y••••• W••••••• L•• · Partnercontrolsince 03/2003 · owns less than 5%
Entity owners
- M•••••• C•••••• P••••••• •••••••• L••• · Sole Memberdirect · owns 75% or more
- M•• G• I••• I••• · General Partnerindirect · owns F of M•••••• C•••••• P••••••• •••••••• L•••
Related persons
Schedule D 7.A
- M•• G• I••• I•••pooled vehicle sponsory
- M•••••• C•••••• P••••••• I••• L•pooled vehicle sponsory
- N••••• G•••• C•••••• G•• L••pooled vehicle sponsorn
- N••••• G•••• C••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 3Mar 30, 2022 to Mar 31, 2022
- Advisory activities · 3 to 2Mar 30, 2022 to Mar 31, 2022
- Pooled vehicle clients · 6 to 3Mar 30, 2022 to Mar 31, 2022
- Private funds · 3 to 2Mar 30, 2022 to Mar 31, 2022
- Discretionary RAUM · $227M to $4.1MMar 30, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $162M to $4.1MMar 30, 2022 to Mar 31, 2022
- RAUM · $227M to $4.1MMar 30, 2022 to Mar 31, 2022
- Related bank · true to falseMar 30, 2022 to Mar 31, 2022
- Private funds · 5 to 3Mar 22, 2021 to Mar 30, 2022
- Accounts · 10 to 7Mar 27, 2020 to Mar 22, 2021
- Pooled vehicle clients · 9 to 6Mar 27, 2020 to Mar 22, 2021
- HQ city · BOSTON to unsetMar 27, 2020 to Mar 22, 2021
- HQ state · MA to unsetMar 27, 2020 to Mar 22, 2021
- Private funds · 7 to 5Mar 27, 2020 to Mar 22, 2021
- Discretionary RAUM · $252M to $227MMar 27, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $212M to $162MMar 27, 2020 to Mar 22, 2021
- RAUM · $252M to $227MMar 27, 2020 to Mar 22, 2021
- Employees · 14 to 10Apr 30, 2019 to Mar 27, 2020
- Other offices · 1 to 0Apr 30, 2019 to Mar 27, 2020
- Discretionary RAUM · $294M to $252MApr 30, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $250M to $212MApr 30, 2019 to Mar 27, 2020
- RAUM · $294M to $252MApr 30, 2019 to Mar 27, 2020
- Accounts · 9 to 10Mar 29, 2018 to Mar 5, 2019
- Pooled vehicle clients · 8 to 9Mar 29, 2018 to Mar 5, 2019
- Private funds · 6 to 7Mar 29, 2018 to Mar 5, 2019
- Discretionary RAUM · $469M to $294MMar 29, 2018 to Mar 5, 2019
- Pooled vehicle RAUM · $408M to $250MMar 29, 2018 to Mar 5, 2019
- RAUM · $469M to $294MMar 29, 2018 to Mar 5, 2019
- Accounts · 8 to 9Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 8.0Mar 29, 2017 to Mar 29, 2018
- Custody of client assets · false to trueMar 29, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 29, 2018
- Private funds · 4 to 6Mar 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $571M to $469MMar 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 407775941.0Mar 29, 2017 to Mar 29, 2018
- RAUM · $571M to $469MMar 29, 2017 to Mar 29, 2018
- Related bank · false to trueMar 29, 2017 to Mar 29, 2018
- Accounts · 7 to 8Mar 30, 2016 to Mar 29, 2017
- Advisory employees · 10 to 8Mar 30, 2016 to Mar 29, 2017
- Employees · 16 to 14Mar 30, 2016 to Mar 29, 2017
Signals
2 dated events
- M•••••• C•••••• P•••••••• L•• reported RAUM $4.1M, down 98% from $227.2M (2022-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- M•••••• C•••••• P•••••••• L•• reported RAUM $294.1M, down 37% from $469.1M (2018-03-29 to 2019-03-05)Mar 5, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M•••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
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