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• R••• L••
Latest filing May 17, 2024
First filing on the tape Dec 21, 2011 · 33 filings
SEC status approved since Jan 10, 2012
RAUM
$113M
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
22
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$113M gross assets
History
33 filings and snapshots on the tape
RAUM$113M as of Mar 28, 2024
Mar 25, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 25, 20130 then
Employees (5.A)22 as of Mar 28, 2024
Mar 25, 201328 then
Private funds3 as of Mar 28, 2024
Mar 25, 20134 then
RAUM -46% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 17, 2024; 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
- $37.7MderivedRAUM 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
- -46%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 vehiclesreportedItem 5.G
- 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)
- 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$113M100%
- 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
- noreported
- 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 |
|---|---|---|---|---|
| M••••• G••••• F••• I•• L• | Real Estate Fund | $74.4M | 5 | Mar 31, 2021 |
| M••••• G••••• F••• I•• L••no longer reported | Real Estate Fund | $50.7M | 7 | Mar 30, 2012 |
| M••••• G••••• F••• V•••• L• | Real Estate Fund | $38.4M | 8 | Mar 28, 2017 |
| M••••• G••••• F••• V• L••no longer reported | Real Estate Fund | $10.6M | 6 | Mar 30, 2012 |
| M••••• G••••• F•••••• • F••••• V•••• L••• | Real Estate Fund | $231,031 | 1 | Mar 28, 2017 |
| M••••• G••••• F••• V•• L•• | Real Estate Fund | $0 | 8 | Mar 30, 2012 |
| M••••• G••••• F••• V••• L•• | Real Estate Fund | $0 | 8 | Dec 21, 2011 |
Owners and control persons
Schedule A and B, latest filing
- C••••• N•••• G•••••• · Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- F•••••• T•••••• A••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- M•••••• J••••• H••••• · President And Chief Executive Officercontrolsince 01/1994 · owns 50% to 75%
- M•••••• M••••• M••••••• · Chairman Emerituscontrolsince 01/1994 · owns 50% to 75%
- N••••••••• D••••• K•••• · Chief Development Officercontrolsince 03/2009 · owns less than 5%
- P••••• A•••• B•• · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- G••••• D••••••••• C••••pooled vehicle sponsorn
- M• F••• I• G•••••• P••••••• L••pooled vehicle sponsorn
- M• F••• I• M••••••• L••pooled vehicle sponsorn
- M• F••• V••• G•••••• P••••••• L••pooled vehicle sponsorn
- M• F••• V••• M••••••• L••pooled vehicle sponsorn
- M••• H••• H••••••••• L••investment companyn
- M••••• G••••• P••••••••• L••pooled vehicle sponsorn
- V••••• P••••••• S•••••••• L••investment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 8Oct 6, 2023 to Mar 28, 2024
- Employees · 24 to 22Oct 6, 2023 to Mar 28, 2024
- Private funds · 5 to 3Oct 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $210M to $113MOct 6, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $210M to $113MOct 6, 2023 to Mar 28, 2024
- RAUM · $210M to $113MOct 6, 2023 to Mar 28, 2024
- Accounts · 5 to 3Sep 28, 2022 to Mar 23, 2023
- Advisory employees · 12 to 10Sep 28, 2022 to Mar 23, 2023
- Pooled vehicle clients · 5 to 3Sep 28, 2022 to Mar 23, 2023
- Employees · 27 to 24Sep 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $429M to $210MSep 28, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $429M to $210MSep 28, 2022 to Mar 23, 2023
- RAUM · $429M to $210MSep 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $419M to $429MMar 7, 2022 to Mar 23, 2022
- Pooled vehicle RAUM · $419M to $429MMar 7, 2022 to Mar 23, 2022
- RAUM · $419M to $429MMar 7, 2022 to Mar 23, 2022
- Advisory employees · 14 to 12Mar 31, 2021 to Jul 30, 2021
- Employees · 29 to 27Mar 31, 2021 to Jul 30, 2021
- Advisory employees · 13 to 14Mar 30, 2020 to Mar 31, 2021
- Employees · 28 to 29Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $486M to $419MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $486M to $419MMar 30, 2020 to Mar 31, 2021
- RAUM · $486M to $419MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $568M to $486MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $568M to $486MMar 29, 2019 to Mar 30, 2020
- RAUM · $568M to $486MMar 29, 2019 to Mar 30, 2020
- Advisory employees · 14 to 13Nov 15, 2018 to Mar 29, 2019
- Employees · 31 to 28Nov 15, 2018 to Mar 29, 2019
- Discretionary RAUM · $795M to $568MNov 15, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $795M to $568MNov 15, 2018 to Mar 29, 2019
- RAUM · $795M to $568MNov 15, 2018 to Mar 29, 2019
- Advisory employees · 15 to 14Sep 22, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 5.0Sep 22, 2017 to Mar 23, 2018
- Employees · 32 to 31Sep 22, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Sep 22, 2017 to Mar 23, 2018
- Discretionary RAUM · $1.0B to $795MSep 22, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 794640941.0Sep 22, 2017 to Mar 23, 2018
- RAUM · $1.0B to $795MSep 22, 2017 to Mar 23, 2018
- Accounts · 3 to 5Mar 28, 2016 to Mar 28, 2017
- Private funds · 3 to 5Mar 28, 2016 to Mar 28, 2017
Signals
14 dated events
- M• R••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $113.1M)May 2, 2025 · Left the SEC roster · derived
- Ben Adam Pasha (Chief Financial Officer) appeared on Schedule A of M• R••• L••Mar 28, 2024 · Control person joined · fact
- Garrett Neil Cohen (Chief Operating Officer) appeared on Schedule A of M• R••• L••Mar 28, 2024 · Control person joined · fact
- Marshall Myron Miller (Chairman Emeritus) appeared on Schedule A of M• R••• L••Mar 28, 2024 · Control person joined · fact
- Leighann Michelle Skar (Chief Financial Officer) no longer on Schedule A of M• R••• L•• (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- A••••• T••••• F••••• (Chief Compliance Officer) appeared on Schedule A of M• R••• L••Oct 6, 2023 · Control person joined · fact
- Marshall Myron Miller (Chairman) no longer on Schedule A of M• R••• L•• (listed 2023-07-27, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- M• R••• L•• reported RAUM $210.5M, down 51% from $428.8M (2022-09-28 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- Brian Paul Hogan (Chief Portfolio Manager) no longer on Schedule A of M• R••• L•• (listed 2022-09-28, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Matthew Joseph Haley (Executive Vice President, Acquisitions) no longer on Schedule A of M• R••• L•• (listed 2022-03-02, absent 2022-03-07)Mar 7, 2022 · Control person left · inference
- Leslie William Lawrence (Chief Operating Officer) no longer on Schedule A of M• R••• L•• (listed 2021-03-31, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- William Peter Savoie (Chief Investment Officer) no longer on Schedule A of M• R••• L•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Matthew Joseph Haley (Executive Vice President, Acquisitions) appeared on Schedule A of M• R••• L••Mar 31, 2021 · Control person joined · fact
- M• R••• L•• reported RAUM $567.9M, down 29% from $794.6M (2018-11-15 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M• R••• 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
Across the graphs
M• R••• 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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