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•• I•••••••• L••
Latest filing Mar 26, 2024
First filing on the tape Feb 10, 2012 · 13 filings
RAUM
$487M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$386M gross assets
History
13 filings and snapshots on the tape
RAUM$487M as of Mar 26, 2024
Mar 15, 2013$927M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 15, 20132 then
Employees (5.A)7 as of Mar 26, 2024
Mar 15, 201315 then
Private funds1 as of Mar 26, 2024
Mar 15, 20131 then
RAUM -48% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; 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
- $162MderivedRAUM 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
- -48%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$386M79%
- Investment companies$92.0M19%
- Corporations and businesses$9.0M1.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• P•••••••• L••• | Hedge Fund | $386M | 1 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••• T••••••• E••••• · General Counsel And Vice President; Chief Compliance Officercontrolsince 12/2008 · owns less than 5%
- L••••• E••••• F•••••• · Chief Financial Officercontrolsince 10/2014 · owns less than 5%
- P••••• J•••••••• C••• · Managing Director; Managing Membercontrolsince 05/2022 · owns less than 5%
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 · 1 to 3Mar 31, 2023 to Mar 26, 2024
- Advisory employees · 7 to 4Mar 31, 2023 to Mar 26, 2024
- Advisory activities · 1 to 3Mar 31, 2023 to Mar 26, 2024
- Corporate clients · unset to 1.0Mar 31, 2023 to Mar 26, 2024
- Assets in custody · $937M to $0Mar 31, 2023 to Mar 26, 2024
- Employees · 13 to 7Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $937M to $487MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $937M to $386MMar 31, 2023 to Mar 26, 2024
- RAUM · $937M to $487MMar 31, 2023 to Mar 26, 2024
- Advisory employees · 5 to 7Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.3B to $937MMar 31, 2022 to Mar 31, 2023
- Employees · 8 to 13Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $937MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.3B to $937MMar 31, 2022 to Mar 31, 2023
- RAUM · $1.3B to $937MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 8 to 5Mar 22, 2021 to Mar 31, 2022
- Assets in custody · $1.1B to $1.3BMar 22, 2021 to Mar 31, 2022
- Employees · 11 to 8Mar 22, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.1B to $1.3BMar 22, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.1B to $1.3BMar 22, 2021 to Mar 31, 2022
- RAUM · $1.1B to $1.3BMar 22, 2021 to Mar 31, 2022
- Advisory employees · 9 to 8Mar 10, 2020 to Mar 22, 2021
- Assets in custody · $1.1B to $1.1BMar 10, 2020 to Mar 22, 2021
- Employees · 12 to 11Mar 10, 2020 to Mar 22, 2021
- Discretionary RAUM · $1.1B to $1.1BMar 10, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $1.1B to $1.1BMar 10, 2020 to Mar 22, 2021
- RAUM · $1.1B to $1.1BMar 10, 2020 to Mar 22, 2021
- Individual clients · 0.0 to unsetMar 29, 2019 to Mar 10, 2020
- Assets in custody · $1.2B to $1.1BMar 29, 2019 to Mar 10, 2020
- Employees · 13 to 12Mar 29, 2019 to Mar 10, 2020
- Discretionary RAUM · $1.0B to $1.1BMar 29, 2019 to Mar 10, 2020
- Pooled vehicle RAUM · $1.0B to $1.1BMar 29, 2019 to Mar 10, 2020
- RAUM · $1.0B to $1.1BMar 29, 2019 to Mar 10, 2020
- Discretionary RAUM · $1.2B to $1.0BMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.2B to $1.0BMar 29, 2018 to Mar 29, 2019
- RAUM · $1.2B to $1.0BMar 29, 2018 to Mar 29, 2019
- Individual clients · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 23, 2017 to Mar 29, 2018
- Assets in custody · $1.1B to $1.2BMar 23, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Mar 29, 2018
Signals
4 dated events
- M•• I•••••••• L•• reported RAUM $487.0M, down 48% from $937.0M (2023-03-31 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- M•• I•••••••• L•• reported RAUM $937.0M, down 26% from $1.3B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Francis Michael Price (Managing Member, Chief Executive Officer) no longer on Schedule A of M•• I•••••••• L•• (listed 2021-03-22, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Cook Jennifer Price (Managing Director) appeared on Schedule A of M•• I•••••••• L••Mar 31, 2022 · Control person joined · fact
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