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•••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 10, 2012 · 24 filings
SEC status approved since Feb 24, 2012
RAUM
$2.2B
reported, Item 5.F
Discretionary
77%
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
15
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.2B as of Mar 31, 2026
Mar 28, 2013$11B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)15 as of Mar 31, 2026
Mar 28, 201326 then
Private funds3 as of Mar 31, 2026
Mar 28, 20133 then
RAUM +22% over the last fiscal year-7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $447MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%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
- +22%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
- Custody
- $2.2B, 5 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2B for 5 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=false 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• C•••••• M••••• F•••• L• | Hedge Fund | $2.0B | 53 | Aug 27, 2012 |
| M•••• C•••••• L•••no longer reported | Hedge Fund | $35.2M | 455 | Feb 10, 2012 |
| M•••• I•••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $28.7M | 3 | Mar 25, 2022 |
| M•••• C•••••• L•no longer reported | Hedge Fund | $7.8M | 517 | Feb 10, 2012 |
| M•••• C•••••• S•• I••• L•• | Hedge Fund | $7,861 | 1 | Mar 31, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• D•••••• · Analyst And Managing Membercontrolsince 12/2013 · owns less than 5%
- C•••••• M••••••• G••••• · General Counsel And Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- G••••••••• K••••••• M•••• · Managing Member And Principalcontrolsince 06/2000 · owns 50% to 75%
- G••••••••• J•••• C••••••••• · Chief Operating Officer And Managing Membercontrolsince 09/2002 · owns less than 5%
- M••••••• M••••••• E••• · Managing Member And Principalcontrolsince 06/2000 · owns 50% to 75%
- R•••• S•••••• T••••••• · Analyst And Managing Membercontrolsince 01/2023 · owns less than 5%
- S••••••••• D••••• R••• · Chief Financial Officercontrolsince 01/2013 · owns less than 5%
- G••••••••• K••••••• M•••• · Limited Partnercontrolsince 10/2009 · owns 50% to 75% of M•••• C•••••• H••••••• L•
- G••••••••• K••••••• M•••• · Managing Membercontrolsince 10/2009 · owns 50% to 75% of M•••• M••••••••• H••••••• L••
- M••••••• M••••••• E••• · Limited Partnercontrolsince 10/2009 · owns 50% to 75% of M•••• C•••••• H••••••• L•
- M••••••• M••••••• E••• · Managing Membercontrolsince 10/2009 · owns 50% to 75% of M•••• M••••••••• H••••••• L••
Entity owners
- M•••• C•••••• H••••••• L• · Managing Memberdirect · owns less than 5%
- M•••• M••••••••• H••••••• L•• · General Partnerindirect · owns F of M•••• C•••••• H••••••• L•
Related persons
Schedule D 7.A
- M•••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 10Apr 14, 2025 to Mar 31, 2026
- Assets in custody · $1.8B to $2.2BApr 14, 2025 to Mar 31, 2026
- Employees · 14 to 15Apr 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $1.7BApr 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $358M to $509MApr 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $2.2BApr 14, 2025 to Mar 31, 2026
- RAUM · $1.8B to $2.2BApr 14, 2025 to Mar 31, 2026
- Accounts · 4 to 5Mar 29, 2024 to Apr 14, 2025
- Pooled vehicle clients · 4 to 5Mar 29, 2024 to Apr 14, 2025
- Assets in custody · $2.0B to $1.8BMar 29, 2024 to Apr 14, 2025
- Employees · 11 to 14Mar 29, 2024 to Apr 14, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 14, 2025
- Private funds · 2 to 3Mar 29, 2024 to Apr 14, 2025
- Discretionary RAUM · $2.0B to $1.5BMar 29, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $0 to $358MMar 29, 2024 to Apr 14, 2025
- Pooled vehicle RAUM · $2.0B to $1.8BMar 29, 2024 to Apr 14, 2025
- RAUM · $2.0B to $1.8BMar 29, 2024 to Apr 14, 2025
- Advisory employees · 10 to 9Apr 28, 2023 to Mar 29, 2024
- Assets in custody · $2.8B to $2.0BApr 28, 2023 to Mar 29, 2024
- Employees · 15 to 11Apr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.8B to $2.0BApr 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.8B to $2.0BApr 28, 2023 to Mar 29, 2024
- RAUM · $2.8B to $2.0BApr 28, 2023 to Mar 29, 2024
- Accounts · 6 to 4Mar 25, 2022 to Mar 31, 2023
- Advisory employees · 9 to 10Mar 25, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 4Mar 25, 2022 to Mar 31, 2023
- Assets in custody · $2.3B to $2.8BMar 25, 2022 to Mar 31, 2023
- Employees · 17 to 15Mar 25, 2022 to Mar 31, 2023
- Private funds · 3 to 2Mar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.3B to $2.8BMar 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.3B to $2.8BMar 25, 2022 to Mar 31, 2023
- RAUM · $2.3B to $2.8BMar 25, 2022 to Mar 31, 2023
- Related bank · true to falseMar 25, 2022 to Mar 31, 2023
- Accounts · 4 to 6Mar 31, 2021 to Mar 25, 2022
- Advisory employees · 8 to 9Mar 31, 2021 to Mar 25, 2022
- BD registered reps · 2 to 0Mar 31, 2021 to Mar 25, 2022
- Pooled vehicle clients · 4 to 6Mar 31, 2021 to Mar 25, 2022
- Assets in custody · $1.7B to $2.3BMar 31, 2021 to Mar 25, 2022
- Custody of client assets · false to trueMar 31, 2021 to Mar 25, 2022
- Employees · 19 to 17Mar 31, 2021 to Mar 25, 2022
Signals
7 dated events
- M•••• C•••••• M••••••••• L•• reported RAUM $2.0B, down 31% from $2.8B (2023-04-28 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- M•••• C•••••• M••••••••• L•• reported RAUM $2.8B, up 25% from $2.3B (2022-03-25 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Thornton Samuel Read (Analyst And Managing Member) appeared on Schedule A of M•••• C•••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- George Michael Cutini (General Counsel And Chief Compliance Officer) appeared on Schedule A of M•••• C•••••• M••••••••• L••Mar 25, 2022 · Control person joined · fact
- Murdock James Mcgovern (General Counsel And Chief Compliance Officer) no longer on Schedule A of M•••• C•••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- M•••• C•••••• M••••••••• L•• reported RAUM $2.3B, up 32% from $1.7B (2021-03-31 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- M•••• C•••••• M••••••••• L•• reported RAUM $1.7B, down 27% from $2.4B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M•••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-771-1200reportedpublic record, Form ADV, Mar 31, 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