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••••••••• M••••••••• L•
Latest filing May 4, 2023
First filing on the tape Dec 20, 2012 · 40 filings
RAUM
$354M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$429M gross assets
History
40 filings and snapshots on the tape
RAUM$429M as of Feb 28, 2023
Mar 12, 2014$399M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 28, 2023
Mar 12, 20140 then
Employees (5.A)2 as of Feb 28, 2023
Mar 12, 20144 then
Private funds3 as of Feb 28, 2023
Mar 12, 20144 then
RAUM -49% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
- $118MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -38%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
- $354M, 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$354M100%
- 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
- $354M 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• C•••••• O••••••• L•no longer reported | Hedge Fund | $427M | 41 | Nov 8, 2013 |
| M••••• C•••••• L• | Hedge Fund | $255M | 56 | Dec 20, 2012 |
| M••••• C•••••• E•••• L• | Hedge Fund | $175M | 4 | Apr 28, 2016 |
| M••••• C•••••• I• L• | Hedge Fund | $75.0M | 1 | Nov 8, 2013 |
| M••••• C•••••• C•••••••• C••••••• F••• L•no longer reported | Hedge Fund | $24.1M | 19 | Dec 20, 2012 |
| M••••• D••••••••• S••••••••• L•no longer reported | Hedge Fund | $12.8M | 11 | Jun 7, 2018 |
| M••••• P••••••• L•no longer reported | Hedge Fund | $1.7M | 6 | Oct 13, 2015 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• S•••••• I•••• · Partner, Portfolio Managercontrolsince 08/2009 · owns 10% to 25%
- B•••••••• A•••••• L••••••• · Partnercontrolsince 10/2008 · owns 75% or more of A•• M• I••••••••• L••
- G••••••• M••••• A•• · Chief Compliance Officersince 01/2023 · owns less than 5%
Entity owners
- A•• M• I••••••••• L•• · Partnerdirect · owns 75% or more
- M• I••••••••• M••••••••• L•• · General Partnerindirect · owns F of A•• M• I••••••••• L••
Related persons
Schedule D 7.A
- M••••• C•••••• P••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 4 to 3Feb 28, 2023 to May 4, 2023
- Assets in custody · $429M to $354MFeb 28, 2023 to May 4, 2023
- Private funds · 3 to 2Feb 28, 2023 to May 4, 2023
- Discretionary RAUM · $429M to $354MFeb 28, 2023 to May 4, 2023
- Pooled vehicle RAUM · $429M to $354MFeb 28, 2023 to May 4, 2023
- RAUM · $429M to $354MFeb 28, 2023 to May 4, 2023
- Assets in custody · $696M to $429MJan 12, 2023 to Feb 28, 2023
- Discretionary RAUM · $696M to $429MJan 12, 2023 to Feb 28, 2023
- Pooled vehicle RAUM · $696M to $429MJan 12, 2023 to Feb 28, 2023
- RAUM · $696M to $429MJan 12, 2023 to Feb 28, 2023
- BD registered reps · 1 to 0Sep 16, 2022 to Jan 12, 2023
- Employees · 3 to 2Sep 16, 2022 to Jan 12, 2023
- Assets in custody · $698M to $696MSep 24, 2021 to Feb 24, 2022
- Discretionary RAUM · $698M to $696MSep 24, 2021 to Feb 24, 2022
- Pooled vehicle RAUM · $698M to $696MSep 24, 2021 to Feb 24, 2022
- RAUM · $698M to $696MSep 24, 2021 to Feb 24, 2022
- Assets in custody · $756M to $698MMar 2, 2021 to Sep 24, 2021
- Discretionary RAUM · $756M to $698MMar 2, 2021 to Sep 24, 2021
- Pooled vehicle RAUM · $756M to $698MMar 2, 2021 to Sep 24, 2021
- RAUM · $756M to $698MMar 2, 2021 to Sep 24, 2021
- Assets in custody · $797M to $756MDec 10, 2020 to Mar 2, 2021
- Discretionary RAUM · $797M to $756MDec 10, 2020 to Mar 2, 2021
- Pooled vehicle RAUM · $797M to $756MDec 10, 2020 to Mar 2, 2021
- RAUM · $797M to $756MDec 10, 2020 to Mar 2, 2021
- Assets in custody · $797M to $797MOct 23, 2020 to Nov 19, 2020
- HQ city · BAY HARBOR ISLANDS to unsetOct 23, 2020 to Nov 19, 2020
- HQ state · FL to unsetOct 23, 2020 to Nov 19, 2020
- Discretionary RAUM · $797M to $797MOct 23, 2020 to Nov 19, 2020
- Pooled vehicle RAUM · $797M to $797MOct 23, 2020 to Nov 19, 2020
- RAUM · $797M to $797MOct 23, 2020 to Nov 19, 2020
- BD registered reps · 2 to 1Oct 7, 2020 to Oct 22, 2020
- Employees · 4 to 3Oct 7, 2020 to Oct 22, 2020
- Related broker-dealer · true to falseOct 7, 2020 to Oct 22, 2020
- Other offices · 2 to 1Aug 10, 2020 to Oct 7, 2020
- Accounts · 5 to 4Mar 19, 2020 to Aug 10, 2020
- Pooled vehicle clients · 5 to 4Mar 19, 2020 to Aug 10, 2020
- Assets in custody · $810M to $797MMar 19, 2020 to Aug 10, 2020
- Private funds · 4 to 3Mar 19, 2020 to Aug 10, 2020
- Discretionary RAUM · $810M to $797MMar 19, 2020 to Aug 10, 2020
- Pooled vehicle RAUM · $810M to $797MMar 19, 2020 to Aug 10, 2020
Signals
5 dated events
- M••••• I••••••••• M••••••••• L• reported RAUM $429.5M, down 38% from $695.7M (2023-01-12 to 2023-02-28)Feb 28, 2023 · RAUM change · derived
- Nadine Katherine Brewster (Chief Compliance Officer) no longer on Schedule A of M••••• I••••••••• M••••••••• L• (listed 2022-09-16, absent 2023-01-12)Jan 12, 2023 · Control person left · inference
- Haines Dana Stewardson (Advisory Board Member) no longer on Schedule A of M••••• I••••••••• M••••••••• L• (listed 2020-11-19, absent 2020-12-10)Dec 10, 2020 · Control person left · inference
- Brian Patrick Horsman (Chief Operating Officer) no longer on Schedule A of M••••• I••••••••• M••••••••• L• (listed 2020-10-07, absent 2020-10-22)Oct 22, 2020 · Control person left · inference
- M••••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Dec 20, 2012 · First SEC registration · 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