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••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Mar 10, 2012
RAUM
$590M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$590M as of Mar 12, 2026
Apr 1, 2013$543M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Apr 1, 20130 then
Employees (5.A)3 as of Mar 12, 2026
Apr 1, 201310 then
Private funds1 as of Mar 12, 2026
Apr 1, 20134 then
RAUM -44% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $197MderivedRAUM 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
- $590M, 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)
- 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$590M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $590M for 3 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=true 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• M••••• F•••• L••• | Hedge Fund | $1.2B | 24 | Feb 14, 2012 |
| M•• O•••••• F•••• L•••no longer reported | Hedge Fund | $167M | 9 | Feb 14, 2012 |
| M•• D••••••••• F•••• L•••no longer reported | Hedge Fund | $20.0M | 1 | Feb 14, 2012 |
| M•• S••••• S••••• F•••• L•••no longer reported | Hedge Fund | $8.4M | 1 | Feb 14, 2012 |
| M•• O••••••• F•••• L•••no longer reported | Hedge Fund | $5.9M | 2 | Feb 14, 2012 |
| M•• U• S•••• C••• L•••no longer reported | Hedge Fund | $5.2M | 1 | Feb 14, 2012 |
| M•• D••••••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $2.5M | 1 | Mar 30, 2015 |
| M•• L••• O••••••••• M••••• F•••• L••no longer reported | Hedge Fund | $1.0M | 1 | Feb 3, 2022 |
| M•• C•••••• V• F•••• L••• | Venture Capital Fund | $0 | 1 | Feb 27, 2020 |
| M•• U• L•••• C••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 14, 2012 |
| M•• G••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••• A••••• · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- M•••••• G••••••• V••••• · Manager; Trustee Of The F••••• 2••• M••••••••• T•••• And The L••••• M••••• G•• 0• T••••controlsince 08/2003 · owns less than 5%
- M•••••• P•••• P••••• · Manager; Trustee Of The F••••• 2••• M••••••••• T•••• And The P••• M••••• G•• 0• T••••controlsince 08/2003 · owns less than 5%
- M•••••• R••••••• P••• · Chief Executive Officer; Manager; Trustee Of The F••••• 2••• M••••••••• T•••• And The E•••••••• M••••• G•• 0• T••••controlsince 08/2003 · owns less than 5%
- T••••• R•••• M•••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 05/2022 · owns less than 5%
- M•••••• G••••••• V••••• · Trusteecontrolsince 08/2005 · owns F of F••••• 2••• M••••••••• T••••
- M•••••• G••••••• V••••• · Trusteecontrolsince 09/2009 · owns F of L••••• M••••• G•• 0• T••••
- M•••••• P•••• P••••• · Trusteecontrolsince 08/2005 · owns F of F••••• 2••• M••••••••• T•••• And P••• M••••• G•• 0• T••••
- M•••••• R••••••• P••• · Trusteecontrolsince 08/2005 · owns F of F••••• 2••• M••••••••• T••••
- M•••••• R••••••• P••• · Trusteecontrolsince 09/2009 · owns F of E•••••••• M••••• G•• 0• T••••
Entity owners
- F••••• 2••• M••••••••• T•••• · Memberdirect · owns less than 5%
- E•••••••• M••••• G•• 0• T•••• · Memberdirect · owns 50% to 75%
- L••••• M••••• G•• 0• T•••• · Memberdirect · owns 10% to 25%
- P••• M••••• G•• 0• T•••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- D•••• A•••• A•••••••• L••investment adviserpooled vehicle sponsorn
- M•• C•••••• A•••••••• L••investment adviserbankpooled vehicle sponsorn
- M•• C•••••• V• G•• L••pooled vehicle sponsory
- M•• P•••••• E•••••• L••investment advisern
- M•• R••• E•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $1,048,708,835 to $589,549,983 (-44.0%) between the annual amendments of 2025-03-21 and 2026-03-12; the peer median change was +8.0% (672 comparable advisers, 2.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 2.1% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 1Mar 21, 2025 to Feb 26, 2026
- Assets in custody · $1.0B to $590MMar 21, 2025 to Feb 26, 2026
- Employees · 6 to 3Mar 21, 2025 to Feb 26, 2026
- Discretionary RAUM · $1.0B to $590MMar 21, 2025 to Feb 26, 2026
- Pooled vehicle RAUM · $1.0B to $590MMar 21, 2025 to Feb 26, 2026
- RAUM · $1.0B to $590MMar 21, 2025 to Feb 26, 2026
- Accounts · 4 to 3Mar 19, 2024 to Mar 21, 2025
- Pooled vehicle clients · 4 to 3Mar 19, 2024 to Mar 21, 2025
- Assets in custody · $1.2B to $1.0BMar 19, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 21, 2025
- Private funds · 2 to 1Mar 19, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.2B to $1.0BMar 19, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $1.2B to $1.0BMar 19, 2024 to Mar 21, 2025
- RAUM · $1.2B to $1.0BMar 19, 2024 to Mar 21, 2025
- Assets in custody · $860M to $1.2BMar 20, 2023 to Mar 19, 2024
- Employees · 8 to 6Mar 20, 2023 to Mar 19, 2024
- Discretionary RAUM · $860M to $1.2BMar 20, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $860M to $1.2BMar 20, 2023 to Mar 19, 2024
- RAUM · $860M to $1.2BMar 20, 2023 to Mar 19, 2024
- Accounts · 6 to 4Oct 12, 2022 to Mar 20, 2023
- Advisory employees · 6 to 4Oct 12, 2022 to Mar 20, 2023
- Pooled vehicle clients · 6 to 4Oct 12, 2022 to Mar 20, 2023
- Assets in custody · $1.4B to $860MOct 12, 2022 to Mar 20, 2023
- Employees · 12 to 8Oct 12, 2022 to Mar 20, 2023
- Private funds · 3 to 2Oct 12, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.4B to $860MOct 12, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $1.4B to $860MOct 12, 2022 to Mar 20, 2023
- RAUM · $1.4B to $860MOct 12, 2022 to Mar 20, 2023
- Accounts · 5 to 6Feb 3, 2022 to Mar 30, 2022
- Pooled vehicle clients · 4 to 6Feb 3, 2022 to Mar 30, 2022
- Assets in custody · $1.6B to $1.4BFeb 3, 2022 to Mar 30, 2022
- Custody of client assets · false to trueFeb 3, 2022 to Mar 30, 2022
- Employees · 14 to 12Feb 3, 2022 to Mar 30, 2022
- Discretionary RAUM · $1.7B to $1.4BFeb 3, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $1.6B to $1.4BFeb 3, 2022 to Mar 30, 2022
- RAUM · $1.7B to $1.4BFeb 3, 2022 to Mar 30, 2022
- Private funds · 2 to 3Nov 2, 2021 to Feb 3, 2022
- Accounts · 2 to 5Mar 26, 2020 to Mar 30, 2021
- Advisory employees · 8 to 6Mar 26, 2020 to Mar 30, 2021
- Pooled vehicle clients · 2 to 4Mar 26, 2020 to Mar 30, 2021
Signals
9 dated events
- M•• C••••••• L•• reported RAUM $589.5M, down 44% from $1.0B (2025-03-21 to 2026-02-26)Feb 26, 2026 · RAUM change · derived
- M•• C••••••• L•• reported RAUM $1.2B, up 38% from $859.6M (2023-03-20 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- A••••• J••• L•••• (Chief Financial Officer) appeared on Schedule A of M•• C••••••• L••Mar 19, 2024 · Control person joined · fact
- M•• C••••••• L•• reported RAUM $859.6M, down 38% from $1.4B (2022-10-12 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- K Peter Ashby (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of M•• C••••••• L•• (listed 2022-03-30, absent 2022-05-17)May 17, 2022 · Control person left · inference
- Michael Ryan Tyler (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of M•• C••••••• L••May 17, 2022 · Control person joined · fact
- M•• C••••••• L•• reported RAUM $1.6B, up 51% from $1.0B (2019-03-29 to 2020-02-27)Feb 27, 2020 · RAUM change · derived
- K Peter Ashby (Chief Operating Officer And Chief Compliance Officer) appeared on Schedule A of M•• C••••••• L••Mar 29, 2019 · Control person joined · fact
- Scott Jeffrey A•••••s (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of M•• C••••••• L•• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M•• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.m•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-474-5800reportedpublic record, Form ADV, Mar 12, 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