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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M••• M••••••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 161595SEC 801-74342IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 16, 2012 · 13 filings
RAUM
$6.0B
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
54
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$6.0B as of Mar 29, 2018
Mar 26, 2013$7.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 26, 20130 then
Employees (5.A)54 as of Mar 29, 2018
Mar 26, 201330 then
Private funds: no history
RAUM +24% over the last fiscal year-5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$6.0BderivedRAUM 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
+24%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$6.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J•••• · Senior Vice Presidentcontrol
        since 04/2011 · owns less than 5%
      • F•••••••• P•••• · Executive Vice President And Treasurercontrol
        since 07/2016 · owns less than 5%
      • K•••• G••• · Presidentcontrol
        since 04/2011 · owns less than 5%
      • K••••• C••••••••• J•• · Senior Vice Presidentcontrol
        since 04/2011 · owns less than 5%
      • P••• A••••• J••••• · Senior Vice Presidentcontrol
        since 01/2014 · owns less than 5%
      • P••••••• K••••••• L•• · Chief Compliance Officer, Senior Vice President And Secretarycontrol
        since 07/2016 · owns less than 5%
      Entity owners
      • A••• M••••••• M••••••••• L•• · Common Stock Shareholder
        direct · owns 75% or more
      • A••• I••••••••• C•••• · Member
        indirect · owns 75% or more of A••• M••••••• M••••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • A••• M••••••••• L••
        investment adviserbanknRAUM $82B
      • B••••••• S••••••••• L••
        broker-dealern
      • O•• G••••••••• I•••••••• C•• L••
        real estaten
      • W••••••• I•••••••• C•• L••
        real estatey
      Advisers that list M••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 2 to 6
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $4.8B to $6.0B
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 5953036000.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $4.8B to $6.0B
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 10 to 14
        Oct 4, 2016 to Mar 30, 2017
      • BD registered reps · 0 to 2
        Oct 4, 2016 to Mar 30, 2017
      • Business name · A••••••• C•••••• M••• M••••••••• L•• to M••• M••••••••• L••
        Oct 4, 2016 to Mar 30, 2017
      • Employees · 31 to 54
        Oct 4, 2016 to Mar 30, 2017
      • Discretionary RAUM · $5.5B to $4.8B
        Oct 4, 2016 to Mar 30, 2017
      • RAUM · $5.5B to $4.8B
        Oct 4, 2016 to Mar 30, 2017
      • Legal name · A••••••• C•••••• M••• M••••••••• L•• to M••• M••••••••• L••
        Oct 4, 2016 to Oct 4, 2016
      • Related broker-dealer · false to true
        Mar 30, 2016 to Jul 7, 2016
      • Employees · 33 to 31
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $7.0B to $5.5B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $7.0B to $5.5B
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $8.4B to $7.0B
        Sep 30, 2014 to Mar 31, 2015
      • RAUM · $8.4B to $7.0B
        Sep 30, 2014 to Mar 31, 2015
      • Employees · 30 to 33
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $7.7B to $8.4B
        Mar 26, 2013 to Mar 31, 2014
      • RAUM · $7.7B to $8.4B
        Mar 26, 2013 to Mar 31, 2014
      • Related bank · false to true
        Mar 26, 2013 to Mar 31, 2014
      • Advisory employees · unset to 10.0
        Apr 25, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Apr 25, 2012 to Mar 26, 2013
      • Employees · unset to 30.0
        Apr 25, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Apr 25, 2012 to Mar 26, 2013
      • Discretionary RAUM · $2.2B to $7.7B
        Apr 25, 2012 to Mar 26, 2013
      • RAUM · $2.2B to $7.7B
        Apr 25, 2012 to Mar 26, 2013
      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