DFX Intelligence

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M••••••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Glen Allen, Virginia

Former SEC-registered adviser, based in Glen Allen, Virginia, reporting $103M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2014-08-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $103M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2014-08-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Also held on 1 other DFX graph, matched on shared identifiers.
Graphs 1

Every filed figure, and the identifiersCRD 158642 · SEC 801-79760 · 2 filingsShow

CRD 158642SEC 801-79760First filing on the tape May 12, 2014, latest Aug 26, 2014IAPD

RAUM

$103M

reported, Item 5.F

Discretionary

79%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$21.9M gross assets

History

2 filings and snapshots on the tape

RAUM$103M as of Aug 26, 2014

May 12, 2014$103M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Aug 26, 2014

May 12, 20141 then

Employees (5.A)6 as of Aug 26, 2014

May 12, 20146 then

Private funds1 as of Aug 26, 2014

May 12, 20141 then

Practice profile

derived from the filing of Aug 26, 2014; every figure names its basis

RAUM per advisor: $103MderivedRAUM 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: $25.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 79%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 6.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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: $5.2M, 4 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)
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: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $5.2M for 4 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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M••••••••• 2••• F•••• L•••	Real Estate Fund	$28.6M	82	Mar 9, 2016
G•••••••• F•••••• C••••••••• L••	Real Estate Fund	$9.7M	23	Mar 15, 2017
M••••••••• P••••••• F••• I• L••	Real Estate Fund	$8.2M	83	May 12, 2014

Owners and control persons

Schedule A and B, latest filing

C•••• R••••••• E• · Vice President/Chief Compliance Officer/Ownercontrol
since 09/2011 · owns 10% to 25%
G•••••• T•••••• S••••••••• · Board Managercontrol
since 05/2010 · owns less than 5%
K•••••••• B••••• E••• · President/ Owner/ Board Managercontrol
since 02/2009 · owns 10% to 25%
G•••••• J••••• B••••••• · Vice President/Owner
since 08/2012 · owns 10% to 25%
O•••• R•••••• W•••• · Owner
since 02/2009 · owns 10% to 25%

Entity owners

M••••• E•••• I••••••••• L•• · Owner
direct · owns 50% to 75%
M••••• C••••••••• · Owner
indirect · owns 75% or more of M••••• V•••••••• I•• · public reporting company
M••••• V•••••••• I•• · Owner
indirect · owns 75% or more of M••••• E•••• I••••••••• L••

Related persons

Schedule D 7.A

E•••• C••••••••• R•••••• L••
investment companyn
E•••• R••••• O• V•••••••• L••
investment companyn
M••••• C•••••••••
real estaten
M••••••••• A•••• M••••••••• C•••••••••
investment advisernRAUM $3.2B

Advisers that list M••••••••• P•••••••• L•• as a related person

107094 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

2 dated events

••• Locked
Feb 9, 2015 · ria registration change · fact
••• Locked
May 12, 2014 · First SEC registration · fact

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

Across the graphs

M••••••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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