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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SEC-registered adviser
M••••• R•• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 28, 2013 · 19 filings
SEC status approved since Jul 5, 2013
RAUM
$339M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$339M as of Mar 27, 2026
Mar 28, 2014$230M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20140 then
Employees (5.A)4 as of Mar 27, 2026
Mar 28, 20146 then
Private funds5 as of Mar 27, 2026
Mar 28, 20142 then
RAUM -6.4% over the last fiscal year-7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $30.8MderivedRAUM 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
- -6.4%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 vehicles, otherreportedItem 5.G
- Custody
- $339M, 11 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
- 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)
- 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
- Pooled investment vehicles$290M86%
- Corporations and businesses$48.5M14%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $339M for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.86 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• R•• I••••••••• L• | Hedge Fund | $136M | 3 | Mar 29, 2012 |
| M••••• R•• P•••••• F•••• L• | Private Equity Fund | $85.7M | 12 | Mar 28, 2014 |
| M••••• R•• C•••••• F•••• L•no longer reported | Hedge Fund | $79.1M | 9 | Mar 29, 2012 |
| M••••• R•• P•••••• F••• I•• L• | Private Equity Fund | $56.3M | 13 | Mar 29, 2016 |
| M••••• R•• C•••••• F••• •••••••• L•••no longer reported | Hedge Fund | $50.8M | 4 | Mar 29, 2012 |
| M••• C••••••• P••••••• I• L•• | Private Equity Fund | $31.1M | 10 | Mar 28, 2017 |
| M••••• R•• P•••••• F••• I••• L• | Private Equity Fund | $28.8M | 9 | Mar 21, 2019 |
| H••• M••••• T•••• F•••••••no longer reported | Real Estate Fund | $19.9M | 3 | Mar 29, 2012 |
| H••• M••••• T•••• F•••••••no longer reported | Real Estate Fund | $8.6M | 4 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• · Managercontrolsince 09/2008 · owns less than 5%
- S••••• A••• L••••• · Chief Operating Officer / Chief Compliance Officercontrolsince 02/2009 · owns less than 5%
- B•••••• J••••• · Managing Membercontrolsince 09/2008 · owns 75% or more of M••••• R•• H•••••••• L••
Entity owners
- M••••• R•• H•••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••• R•• A•••• P••••••• I•• L••pooled vehicle sponsorn
- M••••• R•• A•••• P••••••• I••• L••pooled vehicle sponsorn
- M••••• R•• A•••• P•••••••• L••pooled vehicle sponsorn
- M••••• R•• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 27, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-20, no on the filing of 2026-03-27peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 12 to 11Mar 20, 2025 to Mar 27, 2026
- Assets in custody · $362M to $339MMar 20, 2025 to Mar 27, 2026
- Employees · 5 to 4Mar 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $362M to $339MMar 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $295M to $290MMar 20, 2025 to Mar 27, 2026
- RAUM · $362M to $339MMar 20, 2025 to Mar 27, 2026
- Related bank · true to falseMar 20, 2025 to Mar 27, 2026
- Assets in custody · $429M to $362MMar 19, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 20, 2025
- Discretionary RAUM · $429M to $362MMar 19, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $338M to $295MMar 19, 2024 to Mar 20, 2025
- RAUM · $429M to $362MMar 19, 2024 to Mar 20, 2025
- Assets in custody · $0 to $429MJan 19, 2024 to Mar 19, 2024
- Discretionary RAUM · $424M to $429MJan 19, 2024 to Mar 19, 2024
- Pooled vehicle RAUM · $336M to $338MJan 19, 2024 to Mar 19, 2024
- RAUM · $424M to $429MJan 19, 2024 to Mar 19, 2024
- Pooled vehicle clients · 10 to 9Mar 28, 2022 to Mar 22, 2023
- Assets in custody · $435M to $0Mar 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $435M to $424MMar 28, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $350M to $336MMar 28, 2022 to Mar 22, 2023
- RAUM · $435M to $424MMar 28, 2022 to Mar 22, 2023
- Pooled vehicle clients · 12 to 10Mar 29, 2021 to Mar 28, 2022
- Assets in custody · $436M to $435MMar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $436M to $435MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $349M to $350MMar 29, 2021 to Mar 28, 2022
- RAUM · $436M to $435MMar 29, 2021 to Mar 28, 2022
- Assets in custody · $474M to $436MJul 9, 2020 to Mar 29, 2021
- Discretionary RAUM · $474M to $436MJul 9, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $378M to $349MJul 9, 2020 to Mar 29, 2021
- RAUM · $474M to $436MJul 9, 2020 to Mar 29, 2021
- Accounts · 11 to 12May 7, 2019 to Mar 19, 2020
- Pooled vehicle clients · 9 to 12May 7, 2019 to Mar 19, 2020
- Assets in custody · $482M to $474MMay 7, 2019 to Mar 19, 2020
- Employees · 6 to 5May 7, 2019 to Mar 19, 2020
- Discretionary RAUM · $482M to $474MMay 7, 2019 to Mar 19, 2020
- Pooled vehicle RAUM · $433M to $378MMay 7, 2019 to Mar 19, 2020
- RAUM · $482M to $474MMay 7, 2019 to Mar 19, 2020
- Accounts · 10 to 11Mar 28, 2018 to Mar 21, 2019
- Advisory employees · 3 to 2Mar 28, 2018 to Mar 21, 2019
- Pooled vehicle clients · 8 to 9Mar 28, 2018 to Mar 21, 2019
Signals
1 dated events
- M••••• R•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••••• R•• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M••••• R•• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- M••••• R•• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (646) 216-8346reportedpublic record, Form ADV, Mar 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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
Across the graphs
M••••• R•• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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