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••••••••• L•

Former SEC-registered adviserRedding, ConnecticutCRD 161637SEC 801-77404IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 19, 2012 · 14 filings
RAUM
$22.3M
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
n/a
beyond the principal office
Private funds
1
$255M gross assets
History
14 filings and snapshots on the tape
RAUM$22.3M as of Mar 29, 2016
Mar 27, 2014$294M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 27, 20140 then
Employees (5.A)2 as of Mar 29, 2016
Mar 27, 20149 then
Private funds1 as of Mar 29, 2016
Mar 27, 20141 then
RAUM -94% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$22.3MderivedRAUM 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
-94%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$22.3M, 1 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)
  • 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)
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$22.3M for 1 clientsreported
Compensation
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• G••••• C••••• O••••••••• M••••• F•••• L•Hedge Fund$255M14Mar 19, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• C••••••• E••••• · President And Chief Compliance Officercontrol
        since 04/2012 · owns 25% to 50%
      • M•••••• M••••••• M•••••• · Chief Investment Officercontrol
        since 01/2012 · owns 25% to 50%
      • C••••• C••••••• E••••• · Membercontrol
        since 04/2012 · owns 50% to 75% of M••••••••• G•• L••
      • M•••••• M••••••• M•••••• · Membercontrol
        since 01/2012 · owns 50% to 75% of M••••••••• G•• L••
      Entity owners
      • M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M• G•• G•••••• L••
        pooled vehicle sponsory
      • M• G•• M••••• G•••••• L••
        pooled vehicle sponsory
      • M• G•• M••••• G•• L•
        pooled vehicle sponsory
      • M••••••••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 30, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Advisory activities · 2 to 1
        Mar 30, 2015 to Mar 29, 2016
      • Assets in custody · $0 to $22.3M
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 6 to 2
        Mar 30, 2015 to Mar 29, 2016
      • HQ city · STAMFORD to REDDING
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $401M to $22.3M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $401M to $22.3M
        Mar 30, 2015 to Mar 29, 2016
      • Related bank · true to false
        Mar 30, 2015 to Mar 29, 2016
      • Accounts · 2 to 3
        Jun 18, 2014 to Mar 30, 2015
      • Advisory employees · 5 to 4
        Jun 18, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Jun 18, 2014 to Mar 30, 2015
      • Employees · 7 to 6
        Jun 18, 2014 to Mar 30, 2015
      • Discretionary RAUM · $281M to $401M
        Jun 18, 2014 to Mar 30, 2015
      • RAUM · $281M to $401M
        Jun 18, 2014 to Mar 30, 2015
      • Employees · 9 to 7
        May 5, 2014 to Jun 18, 2014
      • HQ city · GREENWICH to STAMFORD
        May 5, 2014 to Jun 18, 2014
      • Discretionary RAUM · $294M to $281M
        Mar 27, 2014 to May 5, 2014
      • RAUM · $294M to $281M
        Mar 27, 2014 to May 5, 2014
      • Advisory employees · 1 to 5
        Jul 10, 2013 to Mar 27, 2014
      • Assets in custody · $119M to $0
        Jul 10, 2013 to Mar 27, 2014
      • Employees · 4 to 9
        Jul 10, 2013 to Mar 27, 2014
      • Discretionary RAUM · $184M to $294M
        Jul 10, 2013 to Mar 27, 2014
      • RAUM · $184M to $294M
        Jul 10, 2013 to Mar 27, 2014
      • Related bank · false to true
        Jul 10, 2013 to Mar 27, 2014
      • Assets in custody · $38.9M to $119M
        May 1, 2013 to Jul 10, 2013
      • Discretionary RAUM · $53.9M to $184M
        May 1, 2013 to Jul 10, 2013
      • RAUM · $53.9M to $184M
        May 1, 2013 to Jul 10, 2013
      • Accounts · 0 to 2
        Nov 20, 2012 to Apr 30, 2013
      • Assets in custody · unset to 38945971.0
        Nov 20, 2012 to Apr 30, 2013
      • Discretionary RAUM · $0 to $53.9M
        Nov 20, 2012 to Apr 30, 2013
      • RAUM · $0 to $53.9M
        Nov 20, 2012 to Apr 30, 2013
      • Advisory employees · unset to 1.0
        Jul 23, 2012 to Nov 12, 2012
      • BD registered reps · unset to 0.0
        Jul 23, 2012 to Nov 12, 2012
      • Business name · M• M••••• • C•• L• to M••••••••• L•
        Jul 23, 2012 to Nov 12, 2012
      • Employees · unset to 4.0
        Jul 23, 2012 to Nov 12, 2012
      • State-registered IARs · unset to 0.0
        Jul 23, 2012 to Nov 12, 2012
      • Legal name · M• M••••• • C•• L• to M••••••••• L•
        Jul 2, 2012 to Jul 2, 2012
      Signals
      1 dated events
      • M••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 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