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•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 164302SEC 801-78736IAPD
Latest filing Mar 23, 2020
First filing on the tape Oct 22, 2013 · 14 filings
RAUM
$28.4M
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
0
beyond the principal office
Private funds
1
$28.4M gross assets
History
14 filings and snapshots on the tape
RAUM$28.4M as of Mar 23, 2020
Mar 28, 2014$145M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 28, 20140 then
Employees (5.A)2 as of Mar 23, 2020
Mar 28, 20145 then
Private funds1 as of Mar 23, 2020
Mar 28, 20141 then
RAUM -67% over the last fiscal year-26% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 23, 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
$28.4MderivedRAUM 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
-67%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
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)
  • 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)
  • 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$28.4M100%
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••• C•••••• P••••••• M••••• F•••• L•no longer reportedHedge Fund$93.5M66Mar 31, 2015
      M•••••• C•••••• P•••••••• L•Hedge Fund$28.4M20May 23, 2012
      M•••••• C•••••• P••••••• O••••••• F•••• L•••no longer reportedHedge Fund$4.8M1Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• D••••• E••• · Managing Member And Chief Compliance Officercontrol
        since 01/2003 · owns 75% or more
      Related persons
      Schedule D 7.A
      • M•••••• C•••••• A••••••••• L••
        pooled vehicle sponsorn
      Advisers that list M•••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Jul 26, 2019 to Mar 23, 2020
      • Advisory activities · 2 to 1
        Jul 26, 2019 to Mar 23, 2020
      • HQ city · CHESTNUT HILL to BOSTON
        Jul 26, 2019 to Mar 23, 2020
      • Other offices · 1 to 0
        Jul 26, 2019 to Mar 23, 2020
      • Discretionary RAUM · $86.3M to $28.4M
        Jul 26, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $46.7M to $28.4M
        Jul 26, 2019 to Mar 23, 2020
      • RAUM · $86.3M to $28.4M
        Jul 26, 2019 to Mar 23, 2020
      • Related adviser · true to false
        Jul 26, 2019 to Mar 23, 2020
      • HQ city · BOSTON to CHESTNUT HILL
        Mar 27, 2019 to Jul 26, 2019
      • Other offices · 0 to 1
        Apr 30, 2018 to Mar 27, 2019
      • Discretionary RAUM · $95.8M to $86.3M
        Apr 30, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $52.5M to $46.7M
        Apr 30, 2018 to Mar 27, 2019
      • RAUM · $95.8M to $86.3M
        Apr 30, 2018 to Mar 27, 2019
      • Related bank · true to false
        Apr 30, 2018 to Mar 27, 2019
      • Discretionary RAUM · $78.0M to $95.8M
        Mar 29, 2018 to Apr 30, 2018
      • Pooled vehicle RAUM · $34.7M to $52.5M
        Mar 29, 2018 to Apr 30, 2018
      • RAUM · $78.0M to $95.8M
        Mar 29, 2018 to Apr 30, 2018
      • Discretionary RAUM · $76.2M to $78.0M
        Dec 8, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $33.8M to $34.7M
        Dec 8, 2017 to Mar 29, 2018
      • RAUM · $76.2M to $78.0M
        Dec 8, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 20, 2017 to Dec 8, 2017
      • Assets in custody · 30769303.0 to unset
        Jul 20, 2017 to Dec 8, 2017
      • Custody of client assets · true to false
        Jul 20, 2017 to Dec 8, 2017
      • Other offices · unset to 0.0
        Jul 20, 2017 to Dec 8, 2017
      • Discretionary RAUM · $68.9M to $76.2M
        Jul 20, 2017 to Dec 8, 2017
      • Pooled vehicle RAUM · unset to 33756000.0
        Jul 20, 2017 to Dec 8, 2017
      • RAUM · $68.9M to $76.2M
        Jul 20, 2017 to Dec 8, 2017
      • Assets in custody · $32.2M to $30.8M
        Mar 29, 2017 to Jul 20, 2017
      • Discretionary RAUM · $70.8M to $68.9M
        Mar 29, 2017 to Jul 20, 2017
      • RAUM · $70.8M to $68.9M
        Mar 29, 2017 to Jul 20, 2017
      • Related bank · false to true
        Mar 29, 2017 to Jul 20, 2017
      • Accounts · 6 to 2
        Mar 30, 2016 to Jan 25, 2017
      • Advisory employees · 4 to 2
        Mar 30, 2016 to Jan 25, 2017
      • Advisory activities · 3 to 2
        Mar 30, 2016 to Jan 25, 2017
      • Assets in custody · $94.3M to $32.2M
        Mar 30, 2016 to Jan 25, 2017
      • Employees · 6 to 2
        Mar 30, 2016 to Jan 25, 2017
      • Discretionary RAUM · $133M to $70.8M
        Mar 30, 2016 to Jan 25, 2017
      • RAUM · $133M to $70.8M
        Mar 30, 2016 to Jan 25, 2017
      • Accounts · 3 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 3
        Mar 31, 2015 to Mar 30, 2016
      Signals
      2 dated events
      • Ross Bradley Balter (Managing Member/Chief Executive Officer) no longer on Schedule A of M•••••• C•••••• M••••••••• L•• (listed 2019-03-27, absent 2019-07-26)
        Jul 26, 2019 · Control person left · inference
      • M•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 22, 2013 · 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