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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SEC-registered adviser
M••••••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 13, 2012 · 31 filings
SEC status approved since Mar 2, 2012
RAUM
$2.9B
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
28
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.9B as of Mar 30, 2026
Apr 1, 2013$237M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)28 as of Mar 30, 2026
Apr 1, 201310 then
Private funds15 as of Mar 30, 2026
Apr 1, 20131 then
RAUM -3.5% over the last fiscal year+4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $94.3MderivedRAUM 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
- -3.5%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
- $6.8M, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.8M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
14 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- A••••••• P•••• M•••••• · Managing Partnercontrolsince 07/2008 · owns less than 5%
- H••••••• A•••• J••••• · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- K••••••• J••••••• A••• · Chief Financial Officercontrolsince 03/2023 · owns less than 5%
- M••••••• A•••••• S•••• · Managing Partner And Chief Investment Officercontrolsince 07/2008 · owns less than 5%
- W•••••• D•••••• K•••••••• · General Counsel & Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
- A••••••• P•••• M•••••• · Managing Partnercontrolsince 09/2021 · owns 25% to 50% of M••••••••• I• H•••••••• L••
- M••••••• A•••••• S•••• · Managing Partnercontrolsince 09/2021 · owns 25% to 50% of M••••••••• I• H•••••••• L••
Entity owners
- M••••••••• I• H•••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••••••• C••••••••• I• G• L••bankpooled vehicle sponsorn
- M••••••••• P••••••• I• G•• L••bankpooled vehicle sponsorn
- M••••••••• P••••••• I• G•• L••bankpooled vehicle sponsorn
- M••••••••• P••••••• I• O••••••• G•• L••bankpooled vehicle sponsorn
- M••••••••• S•••••• O••••••••• G•• L••bankpooled vehicle sponsorn
- M••••••••• S•••••••• O••••••••• I• G•• L••bankpooled vehicle sponsorn
- M••••••••• T••••••• I•• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $0 to $6.8MMar 31, 2025 to Mar 30, 2026
- Employees · 25 to 28Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.0B to $2.9BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.0B to $2.9BMar 31, 2025 to Mar 30, 2026
- RAUM · $3.0B to $2.9BMar 31, 2025 to Mar 30, 2026
- Accounts · 25 to 31Feb 3, 2025 to Mar 31, 2025
- Advisory employees · 14 to 13Feb 3, 2025 to Mar 31, 2025
- Pooled vehicle clients · 25 to 31Feb 3, 2025 to Mar 31, 2025
- Employees · 26 to 25Feb 3, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 3, 2025 to Mar 31, 2025
- Private funds · 13 to 15Feb 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $2.6B to $3.0BFeb 3, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $2.6B to $3.0BFeb 3, 2025 to Mar 31, 2025
- RAUM · $2.6B to $3.0BFeb 3, 2025 to Mar 31, 2025
- Private funds · 12 to 13Mar 29, 2024 to Feb 3, 2025
- Advisory employees · 15 to 14Jun 14, 2023 to Mar 29, 2024
- Assets in custody · $350M to $0Jun 14, 2023 to Mar 29, 2024
- Employees · 29 to 26Jun 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.5B to $2.6BJun 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.5B to $2.6BJun 14, 2023 to Mar 29, 2024
- RAUM · $2.5B to $2.6BJun 14, 2023 to Mar 29, 2024
- Accounts · 23 to 25Feb 9, 2023 to Mar 31, 2023
- Advisory employees · 14 to 15Feb 9, 2023 to Mar 31, 2023
- Pooled vehicle clients · 23 to 25Feb 9, 2023 to Mar 31, 2023
- Assets in custody · $452M to $350MFeb 9, 2023 to Mar 31, 2023
- Employees · 30 to 29Feb 9, 2023 to Mar 31, 2023
- Discretionary RAUM · $2.4B to $2.5BFeb 9, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $2.4B to $2.5BFeb 9, 2023 to Mar 31, 2023
- RAUM · $2.4B to $2.5BFeb 9, 2023 to Mar 31, 2023
- Private funds · 11 to 12Sep 13, 2022 to Feb 9, 2023
- Accounts · 19 to 23Oct 19, 2021 to Mar 31, 2022
- Advisory employees · 11 to 14Oct 19, 2021 to Mar 31, 2022
- Pooled vehicle clients · 19 to 23Oct 19, 2021 to Mar 31, 2022
- Assets in custody · $504M to $452MOct 19, 2021 to Mar 31, 2022
- Employees · 24 to 30Oct 19, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.9B to $2.4BOct 19, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.9B to $2.4BOct 19, 2021 to Mar 31, 2022
- RAUM · $1.9B to $2.4BOct 19, 2021 to Mar 31, 2022
- Accounts · 18 to 19May 27, 2021 to Oct 19, 2021
- Pooled vehicle clients · 18 to 19May 27, 2021 to Oct 19, 2021
Signals
6 dated events
- Elliott Mark Zoldan (Chief Financial Officer) no longer on Schedule A of M••••••••• A•••• M••••••••• L•• (listed 2023-02-09, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Adam Jeffrey Kravetz (Chief Financial Officer) appeared on Schedule A of M••••••••• A•••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Joshua Adam Halpern (Chief Operating Officer) appeared on Schedule A of M••••••••• A•••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- M••••••••• A•••• M••••••••• L•• reported RAUM $1.9B, up 39% from $1.4B (2020-07-20 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Stephen Henry Miller (Chairman) no longer on Schedule A of M••••••••• A•••• M••••••••• L•• (listed 2020-07-20, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- M••••••••• A•••• M••••••••• L•• reported RAUM $1.4B, up 79% from $769.5M (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M••••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M••••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-413-6940reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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