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•••••• M•••••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 159608SEC 801-73048IAPD
Legal name R••••• M••••• S•
Latest filing Jul 26, 2016
First filing on the tape Jan 10, 2012 · 12 filings
RAUM
$85.7M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$47.6M gross assets
History
12 filings and snapshots on the tape
RAUM$108M as of Mar 17, 2015
Mar 26, 2013$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2015
Mar 26, 20130 then
Employees (5.A)1 as of Mar 17, 2015
Mar 26, 20131 then
Private funds1 as of Mar 17, 2015
Mar 26, 20131 then
RAUM -19% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Jul 26, 2016; every figure names its basis
RAUM per advisor
$85.7MderivedRAUM 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
$7.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$47.6M, 13 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$47.6M for 13 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 departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•• C•••••• P•••••••• L•Hedge Fund$95.0M25Mar 8, 2016
      M•• C•••••• P•••••••• L•Hedge Fund$47.6M25Jan 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• M•••••• S•••••• · Chief Compliance Officercontrol
        since 06/1986 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 12
        Jun 14, 2016 to Jul 26, 2016
      • Assets in custody · $79.0M to $47.6M
        Jun 14, 2016 to Jul 26, 2016
      • Discretionary RAUM · $79.0M to $85.7M
        Jun 14, 2016 to Jul 26, 2016
      • RAUM · $79.0M to $85.7M
        Jun 14, 2016 to Jul 26, 2016
      • Discretionary RAUM · $7.9M to $79.0M
        May 5, 2016 to Jun 14, 2016
      • RAUM · $7.9M to $79.0M
        May 5, 2016 to Jun 14, 2016
      • Assets in custody · $75.0M to $79.0M
        Apr 12, 2016 to May 5, 2016
      • Discretionary RAUM · $74.0M to $7.9M
        Apr 12, 2016 to May 5, 2016
      • RAUM · $74.0M to $7.9M
        Apr 12, 2016 to May 5, 2016
      • Private funds · 2 to 1
        Mar 8, 2016 to Apr 12, 2016
      • Accounts · 49 to 13
        Mar 17, 2015 to Mar 8, 2016
      • Assets in custody · $108M to $75.0M
        Mar 17, 2015 to Mar 8, 2016
      • State-registered IARs · 0 to 1
        Mar 17, 2015 to Mar 8, 2016
      • Private funds · 1 to 2
        Mar 17, 2015 to Mar 8, 2016
      • Discretionary RAUM · $108M to $74.0M
        Mar 17, 2015 to Mar 8, 2016
      • RAUM · $108M to $74.0M
        Mar 17, 2015 to Mar 8, 2016
      • Accounts · 20 to 49
        Feb 20, 2014 to Mar 17, 2015
      • Assets in custody · $100M to $108M
        Feb 20, 2014 to Mar 17, 2015
      • Discretionary RAUM · $106M to $108M
        Feb 20, 2014 to Mar 17, 2015
      • RAUM · $106M to $108M
        Feb 20, 2014 to Mar 17, 2015
      • Accounts · 15 to 20
        Mar 26, 2013 to Feb 20, 2014
      • Advisory activities · 1 to 2
        Mar 26, 2013 to Feb 20, 2014
      • Assets in custody · unset to 100000000.0
        Mar 26, 2013 to Feb 20, 2014
      • Custody of client assets · false to true
        Mar 26, 2013 to Feb 20, 2014
      • Discretionary RAUM · $103M to $106M
        Mar 26, 2013 to Feb 20, 2014
      • RAUM · $103M to $106M
        Mar 26, 2013 to Feb 20, 2014
      • Advisory employees · unset to 1.0
        Feb 13, 2012 to Mar 26, 2013
      • Advisory activities · 2 to 1
        Feb 13, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 26, 2013
      • Business name · M•• C•••••• M••••••••• L•• to M•• C•••••• M•••••••••
        Feb 13, 2012 to Mar 26, 2013
      • Employees · unset to 1.0
        Feb 13, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 26, 2013
      • Discretionary RAUM · $115M to $103M
        Feb 13, 2012 to Mar 26, 2013
      • RAUM · $115M to $103M
        Feb 13, 2012 to Mar 26, 2013
      • Legal name · M•• C•••••• M••••••••• L•• to R••••• M••••• S•
        Jan 25, 2012 to Feb 13, 2012
      Signals
      No event on the tape.
      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