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 adviserChicago, IllinoisCRD 161003SEC 801-74317IAPD
Latest filing Apr 1, 2015
First filing on the tape Feb 16, 2012 · 6 filings
RAUM
$73.0M
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
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$73.7M gross assets
History
6 filings and snapshots on the tape
RAUM$73.0M as of Apr 1, 2015
Mar 28, 2013$162M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2015
Mar 28, 20130 then
Employees (5.A)9 as of Apr 1, 2015
Mar 28, 20138 then
Private funds2 as of Apr 1, 2015
Mar 28, 20135 then
RAUM -57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2015; 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
$36.5MderivedRAUM 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
-57%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 vehicles, otherreportedItem 5.G
Custody
$73.0M, 2 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
  • 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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$73.0M for 2 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•• C•• M•••••••• I••••••••• L••Private Equity Fund$6.8M1Feb 16, 2012
      M•• C••••• O••••••••• F•••• L••no longer reportedPrivate Equity Fund$6.0M8Feb 16, 2012
      M•••••• M•••••••• F••• I•• L•••Private Equity Fund$3.1M27Feb 16, 2012
      M•••••• M•••••••• I• P••••••• F•••• L••Private Equity Fund$2.8M8Feb 16, 2012
      M•••••• M•••••••• F••• I••• L•••Private Equity Fund$235,9627Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• C••••••• M•••••• · Senior Managing Directorcontrol
        since 11/2••• · owns less than 5%
      • G••••• D••••• A•••• · Senior Managing Directorcontrol
        since 11/2••• · owns less than 5%
      • K•••••• J••••• A•••• · Senior Managing Directorcontrol
        since 11/2••• · owns less than 5%
      • K••••• P•••• G• · Senior Managing Director, Chief Compliance Officercontrol
        since 11/2••• · owns less than 5%
      • G••••• D••••• A•••• · Trusteecontrol
        since 03/2••• · owns 25% to 50% of The D•••• G•••• Trust
      • D••••••• J••••••• M• · Member
        since 08/2009 · owns 10% to 25%
      Entity owners
      • T•• D•••• G•••• T•••• D•••• M•••• 5• 2••• · Member
        direct · owns 25% to 50%
      • T•• C• M•••••• F•••••• I•• T•••• D•••• A•••• 2•• 2••• · Member
        direct · owns 10% to 25%
      • T•• J•••• A• K••••• R•••••••• T•••• D•••• A••••• 6• 2••• · Member
        direct · owns 10% to 25%
      • T•• P••• G• K•••• T••••• D•••• M•••• 2•• 2••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • M•••••• M•••••••• M••••••••• I•• L••
        pooled vehicle sponsory
      • M•••••• M•••••••• M••••••••• V• S•••• L••
        pooled vehicle sponsorn
      • M•••••• M•••••••• M••••••••• V• L••
        pooled vehicle sponsorn
      • M•• C•••••• M••••••••• V• L••
        investment adviserpooled vehicle sponsornRAUM $244M
      Advisers that list M•• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $103M to $73.0M
        Dec 9, 2014 to Apr 1, 2015
      • Discretionary RAUM · $103M to $73.0M
        Dec 9, 2014 to Apr 1, 2015
      • RAUM · $103M to $73.0M
        Dec 9, 2014 to Apr 1, 2015
      • Accounts · 5 to 2
        Apr 30, 2014 to Dec 9, 2014
      • Assets in custody · $145M to $103M
        Apr 30, 2014 to Dec 9, 2014
      • Private funds · 4 to 2
        Apr 30, 2014 to Dec 9, 2014
      • Discretionary RAUM · $145M to $103M
        Apr 30, 2014 to Dec 9, 2014
      • RAUM · $145M to $103M
        Apr 30, 2014 to Dec 9, 2014
      • Assets in custody · $169M to $145M
        Mar 31, 2014 to Apr 30, 2014
      • Discretionary RAUM · $169M to $145M
        Mar 31, 2014 to Apr 30, 2014
      • RAUM · $169M to $145M
        Mar 31, 2014 to Apr 30, 2014
      • Accounts · 7 to 5
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 6 to 8
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $162M to $169M
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 8 to 9
        Mar 28, 2013 to Mar 31, 2014
      • Private funds · 5 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $157M to $169M
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $5.3M to $0
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $162M to $169M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 6.0
        Feb 16, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 16, 2012 to Mar 28, 2013
      • Assets in custody · $182M to $162M
        Feb 16, 2012 to Mar 28, 2013
      • Employees · unset to 8.0
        Feb 16, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 16, 2012 to Mar 28, 2013
      • Discretionary RAUM · $182M to $157M
        Feb 16, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $5.2M to $5.3M
        Feb 16, 2012 to Mar 28, 2013
      • RAUM · $188M to $162M
        Feb 16, 2012 to Mar 28, 2013
      • Related adviser · false to true
        Feb 16, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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