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••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160013SEC 801-74204IAPD
Latest filing Mar 31, 2023
First filing on the tape Feb 15, 2012 · 17 filings
RAUM
$40.1M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$37.7M gross assets
History
17 filings and snapshots on the tape
RAUM$40.1M as of Mar 31, 2023
Apr 1, 2013$287M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)3 as of Mar 31, 2023
Apr 1, 201312 then
Private funds2 as of Mar 31, 2023
Apr 1, 20133 then
RAUM -44% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$13.4MderivedRAUM 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
-44%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
$39.3M, 3 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)
  • 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$37.7M100%
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
$39.3M for 3 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••• E••••• P•••••••• L•Private Equity Fund$26.8M86Feb 15, 2012
      M•••••• E••••• P••••••• Q•• L•Private Equity Fund$10.9M71Feb 15, 2012
      M•• C••••••••• L••no longer reportedPrivate Equity Fund$7.1M1Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• C••••••••• N•• · Managing Director And Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      • H••••• A•••••• R••••• · Managing Member And Chief Executive Officercontrol
        since 09/2007 · owns 75% or more
      Related persons
      Schedule D 7.A
      • M•••••• E••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $70.8M to $39.3M
        Mar 21, 2022 to Mar 31, 2023
      • Discretionary RAUM · $71.6M to $40.1M
        Mar 21, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $65.4M to $37.7M
        Mar 21, 2022 to Mar 31, 2023
      • RAUM · $71.6M to $40.1M
        Mar 21, 2022 to Mar 31, 2023
      • Advisory employees · 4 to 2
        Jun 8, 2021 to Mar 21, 2022
      • Assets in custody · $107M to $70.8M
        Jun 8, 2021 to Mar 21, 2022
      • Employees · 5 to 3
        Jun 8, 2021 to Mar 21, 2022
      • Discretionary RAUM · $119M to $71.6M
        Jun 8, 2021 to Mar 21, 2022
      • Pooled vehicle RAUM · $114M to $65.4M
        Jun 8, 2021 to Mar 21, 2022
      • RAUM · $119M to $71.6M
        Jun 8, 2021 to Mar 21, 2022
      • Assets in custody · $81.7M to $107M
        Jan 28, 2021 to Mar 30, 2021
      • Discretionary RAUM · $82.4M to $119M
        Jan 28, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $78.0M to $114M
        Jan 28, 2021 to Mar 30, 2021
      • RAUM · $82.4M to $119M
        Jan 28, 2021 to Mar 30, 2021
      • Assets in custody · $114M to $81.7M
        Nov 19, 2019 to Mar 31, 2020
      • Discretionary RAUM · $114M to $82.4M
        Nov 19, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $108M to $78.0M
        Nov 19, 2019 to Mar 31, 2020
      • RAUM · $114M to $82.4M
        Nov 19, 2019 to Mar 31, 2020
      • Assets in custody · $148M to $114M
        Mar 31, 2019 to Nov 19, 2019
      • Discretionary RAUM · $148M to $114M
        Mar 31, 2019 to Nov 19, 2019
      • Pooled vehicle RAUM · $141M to $108M
        Mar 31, 2019 to Nov 19, 2019
      • RAUM · $148M to $114M
        Mar 31, 2019 to Nov 19, 2019
      • Advisory employees · 5 to 4
        Mar 30, 2018 to Mar 31, 2019
      • Pooled vehicle clients · 3 to 2
        Mar 30, 2018 to Mar 31, 2019
      • Assets in custody · $137M to $148M
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 8 to 5
        Mar 30, 2018 to Mar 31, 2019
      • Private funds · 3 to 2
        Mar 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $138M to $148M
        Mar 30, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $138M to $141M
        Mar 30, 2018 to Mar 31, 2019
      • RAUM · $138M to $148M
        Mar 30, 2018 to Mar 31, 2019
      • Pooled vehicle clients · unset to 3.0
        Apr 21, 2017 to Mar 30, 2018
      • Assets in custody · $179M to $137M
        Apr 21, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $180M to $138M
        Apr 21, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 137661846.0
        Apr 21, 2017 to Mar 30, 2018
      • RAUM · $180M to $138M
        Apr 21, 2017 to Mar 30, 2018
      • Advisory employees · 8 to 5
        Apr 18, 2016 to Mar 31, 2017
      • Assets in custody · $180M to $179M
        Apr 18, 2016 to Mar 31, 2017
      • Employees · 12 to 8
        Apr 18, 2016 to Mar 31, 2017
      • Discretionary RAUM · $180M to $180M
        Apr 18, 2016 to Mar 31, 2017
      Signals
      2 dated events
      • Nmn Christopher Bradley (Managing Director And Chief Compliance Officer) appeared on Schedule A of M•••••• C•••••• M••••••••• L••
        Jan 28, 2021 · Control person joined · fact
      • Paul William Phoenix (Member And Chief Compliance Officer) no longer on Schedule A of M•••••• C•••••• M••••••••• L•• (listed 2020-03-31, absent 2021-01-28)
        Jan 28, 2021 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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