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••• ••••••• L••••••

Former SEC-registered adviserLondon, CRD 160273SEC 801-74312IAPD
Latest filing Oct 1, 2013
First filing on the tape Feb 16, 2012 · 6 filings
RAUM
$3.1B
reported, Item 5.F
Discretionary
99%
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
46
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$2.8B gross assets
History
6 filings and snapshots on the tape
RAUM$3.1B as of Oct 1, 2013
Sep 28, 2012$3.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 46
Private funds5 as of Oct 1, 2013
Sep 28, 20126 then
RAUM -8.3% over the last fiscal year
Practice profile
derived from the filing of Oct 1, 2013; 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
$340MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-8.3%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••• E••••• F••• I•• L•••Hedge Fund$2.2B23Feb 16, 2012
      M••• E••••• P••••••• F••• I• L•••Hedge Fund$560M6Feb 16, 2012
      M••• E••••• F••• I•• L•••Hedge Fund$57.8M3Feb 16, 2012
      M••• E••••• P••••••• F••• I• •••••••• L•••Hedge Fund$37.3M6Feb 16, 2012
      M••• E••••• F••• I•• L•••Hedge Fund$1.5M6Feb 16, 2012
      M••• E••••• F••• I• •••••••• L•••Hedge Fund$737,2506Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• C•••••• M•••• · Directorcontrol
        since 05/2012 · owns less than 5%
      • L••• T•••••• W•••••• · Chief Executive Officercontrol
        since 01/2013 · owns less than 5%
      • O••••• D••••• C•••• · Chairman - E•••••control
        since 10/2003 · owns less than 5%
      • T•••••••• R••••••• M••••• · Chief Compliance Officercontrol
        since 10/2008 · owns less than 5%
      • W••••••••• S•••••• C•••• · Chief Financial Officercontrol
        since 07/2010 · owns less than 5%
      Entity owners
      • M••• H••••••• ••••••••• P••• L••• · Shareholder
        direct · owns 75% or more
      • M•••••••• B••• L•••••• · Redeemable Preference Shareholder
        indirect · owns 50% to 75% of M••• L•••••• · public reporting company
      • M••• L•••••• · Shareholder
        indirect · owns 75% or more of M••• Holdings (S••••••••) Pte Ltd
      Related persons
      Schedule D 7.A
      • M••• ••••••• S•••
        investment advisery
      • M••• •••••••• G•••
        investment advisery
      • M••• ••••••• S•• Z•••••
        investment advisery
      • M••• A••••••• ••••••••• P••• L•••
        investment advisernRAUM $8.0B
      • M••• E••••• G• L•••
        pooled vehicle sponsorn
      • M••• E••••• I•• G•• L••
        pooled vehicle sponsorn
      • M••• E••••• P••••••• A•• G•• L••
        pooled vehicle sponsorn
      • M••• E••••• P••••••• G• L•••
        pooled vehicle sponsorn
      • M••• E••••• A•• G•• L••
        pooled vehicle sponsorn
      Advisers that list M••• ••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Frankfurt Am Main, Germany
      • Paris, France
      • Warsaw, Poland
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 9
        Apr 26, 2013 to Oct 1, 2013
      • Advisory employees · 17 to 15
        Apr 26, 2013 to Oct 1, 2013
      • Employees · 48 to 46
        Apr 26, 2013 to Oct 1, 2013
      • Private funds · 6 to 5
        Apr 26, 2013 to Oct 1, 2013
      • Discretionary RAUM · $3.2B to $3.0B
        Apr 26, 2013 to Oct 1, 2013
      • Non-discretionary RAUM · $176M to $23.9M
        Apr 26, 2013 to Oct 1, 2013
      • RAUM · $3.3B to $3.1B
        Apr 26, 2013 to Oct 1, 2013
      • Advisory employees · unset to 17.0
        Sep 28, 2012 to Apr 26, 2013
      • BD registered reps · unset to 0.0
        Sep 28, 2012 to Apr 26, 2013
      • Employees · unset to 48.0
        Sep 28, 2012 to Apr 26, 2013
      • State-registered IARs · unset to 0.0
        Sep 28, 2012 to Apr 26, 2013
      • Discretionary RAUM · $3.3B to $3.2B
        Aug 28, 2012 to Sep 28, 2012
      • Non-discretionary RAUM · $89.4M to $176M
        Aug 28, 2012 to Sep 28, 2012
      • RAUM · $3.3B to $3.3B
        Aug 28, 2012 to Sep 28, 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
      Across the graphs

      M••• ••••••• 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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