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•••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2017 · 16 filings
SEC status approved since Jul 31, 2017
RAUM
$375M
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$375M as of Mar 31, 2026
Mar 29, 2018$158M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20180 then
Employees (5.A)5 as of Mar 31, 2026
Mar 29, 20186 then
Private funds4 as of Mar 31, 2026
Mar 29, 20183 then
RAUM +8.0% over the last fiscal year+8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $93.9MderivedRAUM 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
- +8.0%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
- $375M, 4 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)
- 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$375M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $375M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• P•••••••• L•• | Hedge Fund | $307M | 144 | Mar 30, 2016 |
| L•• M••••• F••• L•••no longer reported | Hedge Fund | $95.9M | 80 | Mar 30, 2012 |
| M•• S••••• H••••••• I• L• | Private Equity Fund | $61.3M | 20 | Mar 31, 2022 |
| M•• S••••• H••••••• I•• L•no longer reported | Private Equity Fund | $13.1M | 13 | Mar 31, 2015 |
| M•• S••••• H•••••••• L•no longer reported | Private Equity Fund | $8.7M | 11 | Mar 31, 2015 |
| M•• E••••••• L••• S••••• B• | Private Equity Fund | $3.9M | 40 | Mar 31, 2022 |
| M•• E••••••• L••• S••••• A• | Private Equity Fund | $396,986 | 20 | Mar 30, 2020 |
| M•• S••••• H••••••• I••• L• S••••• B•no longer reported | Private Equity Fund | $63,401 | 13 | Mar 29, 2019 |
| M•• S••••• H••••••• I••• L• S••••• A•no longer reported | Private Equity Fund | $59,979 | 11 | Mar 29, 2019 |
| M•• S••••• H••••••• I••• L• S••••• C•no longer reported | Private Equity Fund | $21,506 | 15 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• R•••• •••• · Managing Membercontrolsince 03/1998 · owns 75% or more
- Z••••••••• D••••• A••• · Chief Financial Officercontrolsince 08/2015 · owns less than 5%
Related persons
Schedule D 7.A
- L•• M••••••••• L••bankpooled vehicle sponsory
- M•• A••••••• I• L••pooled vehicle sponsory
- M•• A••••••• I•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1May 7, 2025 to Mar 31, 2026
- Assets in custody · $348M to $375MMay 7, 2025 to Mar 31, 2026
- Employees · 6 to 5May 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $348M to $375MMay 7, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $348M to $375MMay 7, 2025 to Mar 31, 2026
- RAUM · $348M to $375MMay 7, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Assets in custody · $294M to $348MMay 3, 2024 to Mar 31, 2025
- Employees · 5 to 6May 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $372M to $348MMay 3, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $372M to $348MMay 3, 2024 to Mar 31, 2025
- RAUM · $372M to $348MMay 3, 2024 to Mar 31, 2025
- Employees · 4 to 5May 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $279M to $372MMay 17, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $279M to $372MMay 17, 2023 to Mar 29, 2024
- RAUM · $279M to $372MMay 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $294M to $279MMar 31, 2023 to May 17, 2023
- Pooled vehicle RAUM · $294M to $279MMar 31, 2023 to May 17, 2023
- RAUM · $294M to $279MMar 31, 2023 to May 17, 2023
- Accounts · 5 to 4Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 4Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $231M to $294MMar 31, 2022 to Mar 31, 2023
- Private funds · 7 to 4Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $301M to $294MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $301M to $294MMar 31, 2022 to Mar 31, 2023
- RAUM · $301M to $294MMar 31, 2022 to Mar 31, 2023
- Accounts · 4 to 5Dec 1, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 5Dec 1, 2021 to Mar 31, 2022
- Private funds · 5 to 7Dec 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $231M to $301MDec 1, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $231M to $301MDec 1, 2021 to Mar 31, 2022
- RAUM · $231M to $301MDec 1, 2021 to Mar 31, 2022
- Advisory employees · 3 to 2Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $206M to $231MMar 30, 2020 to Mar 31, 2021
- Employees · 6 to 4Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $206M to $231MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $206M to $231MMar 30, 2020 to Mar 31, 2021
- RAUM · $206M to $231MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $194M to $206MJun 3, 2019 to Mar 30, 2020
- Private funds · 4 to 5Jun 3, 2019 to Mar 30, 2020
Signals
1 dated events
- M•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M•••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- M•••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-300-6006reportedpublic record, Form ADV, Mar 31, 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