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•••• C•••••• G•••• L••
Latest filing Mar 30, 2020
First filing on the tape Jul 17, 2012 · 13 filings
RAUM
$8.1M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$8.1M gross assets
History
13 filings and snapshots on the tape
RAUM$8.1M as of Mar 30, 2020
Mar 26, 2013$240M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 26, 20130 then
Employees (5.A)4 as of Mar 30, 2020
Mar 26, 20134 then
Private funds1 as of Mar 30, 2020
Mar 26, 20132 then
RAUM n/a over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
- $8.1MderivedRAUM 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
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$8.1M100%
- 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 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• C•••••• T•••• F•••no longer reported | Hedge Fund | $8.2M | 7 | Oct 1, 2013 |
| M•••• C•••••• G•••• M••••• F••• L•• | Other Private Fund | $8.1M | 1 | Mar 29, 2018 |
| M•••• T•••••• L••no longer reported | Hedge Fund | $25,000 | 0 | Jul 17, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••• C••••••• M••• · Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- S••••••• A•••• G•••••• · Chief Executive Officercontrolsince 03/2013 · owns less than 5%
- R••••• C••••••• M••• · Membercontrolsince 02/2009 · owns 75% or more of C• R•••• L••
- S••••••• A•••• G•••••• · Membercontrolsince 01/2000 · owns 75% or more of S•••••• • C•• L••
- C•••••••• A••••••• A•••••• · Officersince 12/2014 · owns less than 5%
Entity owners
- C• R•••• L•• · Memberdirect · owns 50% to 75%
- S•••••• • C•• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1Jul 2, 2019 to Mar 30, 2020
- Discretionary RAUM · $0 to $8.1MJul 2, 2019 to Mar 30, 2020
- RAUM · $0 to $8.1MJul 2, 2019 to Mar 30, 2020
- Accounts · 1 to 0Mar 29, 2018 to Jul 2, 2019
- Advisory employees · 5 to 4Mar 29, 2018 to Jul 2, 2019
- Pension plan clients · 1.0 to unsetMar 29, 2018 to Jul 2, 2019
- Assets in custody · 50000.0 to unsetMar 29, 2018 to Jul 2, 2019
- Custody of client assets · true to falseMar 29, 2018 to Jul 2, 2019
- Employees · 5 to 4Mar 29, 2018 to Jul 2, 2019
- Discretionary RAUM · $50,000 to $0Mar 29, 2018 to Jul 2, 2019
- Pension RAUM · 50000.0 to unsetMar 29, 2018 to Jul 2, 2019
- RAUM · $50,000 to $0Mar 29, 2018 to Jul 2, 2019
- Accounts · 5 to 1Mar 28, 2017 to Mar 29, 2018
- Advisory activities · 4 to 3Mar 28, 2017 to Mar 29, 2018
- BD registered reps · 2 to 0Mar 28, 2017 to Mar 29, 2018
- Pension plan clients · unset to 1.0Mar 28, 2017 to Mar 29, 2018
- State-registered IARs · 2 to 0Mar 28, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 29, 2018
- Private funds · unset to 1Mar 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $40.2M to $50,000Mar 28, 2017 to Mar 29, 2018
- Pension RAUM · unset to 50000.0Mar 28, 2017 to Mar 29, 2018
- RAUM · $40.2M to $50,000Mar 28, 2017 to Mar 29, 2018
- Accounts · 6 to 5Jun 8, 2016 to Mar 28, 2017
- Assets in custody · $500,000 to $50,000Jun 8, 2016 to Mar 28, 2017
- Private funds · 1 to unsetJun 8, 2016 to Mar 28, 2017
- Discretionary RAUM · $37.0M to $40.2MJun 8, 2016 to Mar 28, 2017
- RAUM · $37.0M to $40.2MJun 8, 2016 to Mar 28, 2017
- Accounts · 10 to 6Feb 19, 2016 to Jun 8, 2016
- Advisory employees · 6 to 5Feb 19, 2016 to Jun 8, 2016
- Assets in custody · $6.4M to $500,000Feb 19, 2016 to Jun 8, 2016
- Employees · 6 to 5Feb 19, 2016 to Jun 8, 2016
- Discretionary RAUM · $51.9M to $37.0MFeb 19, 2016 to Jun 8, 2016
- RAUM · $51.9M to $37.0MFeb 19, 2016 to Jun 8, 2016
- Accounts · 11 to 10Mar 30, 2015 to Feb 19, 2016
- Advisory employees · 5 to 6Mar 30, 2015 to Feb 19, 2016
- Advisory activities · 3 to 4Mar 30, 2015 to Feb 19, 2016
- BD registered reps · 1 to 2Mar 30, 2015 to Feb 19, 2016
- Assets in custody · $11.0M to $6.4MMar 30, 2015 to Feb 19, 2016
- Employees · 5 to 6Mar 30, 2015 to Feb 19, 2016
- State-registered IARs · 0 to 2Mar 30, 2015 to Feb 19, 2016
Signals
1 dated events
- M•••• C•••••• G•••• L•• filed its initial SEC registration (Form ADV)Jul 17, 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