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••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 164416SEC 801-76935IAPD
Latest filing Jun 24, 2015
First filing on the tape Jul 16, 2012 · 7 filings
RAUM
$1.1B
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
18
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$840M gross assets
History
7 filings and snapshots on the tape
RAUM$1.1B as of Jun 24, 2015
Jun 26, 2013$896M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 24, 2015
Jun 26, 20130 then
Employees (5.A)18 as of Jun 24, 2015
Jun 26, 201324 then
Private funds1 as of Jun 24, 2015
Jun 26, 20131 then
RAUM -30% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2015; 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
$271MderivedRAUM 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
-30%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 businesses and institutions, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
4reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••••• C••••• N•••• M••••• F••• L••••••Hedge Fund$840M1Nov 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J•••• R•••••• P••• · Director/ Chief Operating Officercontrol
        since 03/2015 · owns less than 5%
      • M••••••••• M••••••• P•••••• · Director/ Presidentcontrol
        since 02/2012 · owns less than 5%
      • S••••• S•••••• · Directorcontrol
        since 02/2012 · owns less than 5%
      • B••••••• V••••••• · General Counsel
        since 06/2012 · owns less than 5%
      • N•••••• S•••••• · Chief Risk Officer/Director
        since 06/2012 · owns less than 5%
      • S•••••• M•••• D••••• · Director
        since 04/2015 · owns less than 5%
      • W•••• A••••••••• M••• · Chief Compliance Officer
        since 06/2012 · owns less than 5%
      Entity owners
      • M•••••••• H••••••• •••• I••• · Owner
        direct · owns 75% or more
      • M•••••••• C•••••• G•••• L•••••• · Owner
        indirect · owns 75% or more of M•••••••• C•••••• I••••••••• H••••••• P•• L••••••
      • M•••••••• C•••••• I••••••••• H••••••• P•• L•••••• · Owner
        indirect · owns 75% or more of M•••••••• G•••• ••• H••••••• N•• 1• P•• L••••••
      • M•••••••• E••••••• ••• H••••••• P•• L•••••• · Owner
        indirect · owns 75% or more of M•••••••• H••••••• •••• I•••
      • M•••••••• F•••••••• H••••••• L•••••• · Owner
        indirect · owns 75% or more of M•••••••• C•••••• G•••• L••••••
      • M•••••••• G•••• ••• H••••••• N•• 1• P•• L•••••• · Owner
        indirect · owns 75% or more of M•••••••• E••••••• ••• H••••••• P•• L••••••
      • M•••••••• G•••• L•••••• · Owner
        indirect · owns 75% or more of M•••••••• F•••••••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Apr 28, 2015 to Jun 24, 2015
      • Employees · 16 to 18
        Apr 28, 2015 to Jun 24, 2015
      • Discretionary RAUM · $1.5B to $1.1B
        Apr 28, 2015 to Jun 24, 2015
      • RAUM · $1.5B to $1.1B
        Apr 28, 2015 to Jun 24, 2015
      • Accounts · 4 to 5
        Feb 26, 2015 to Apr 28, 2015
      • Advisory employees · 14 to 11
        Feb 26, 2015 to Apr 28, 2015
      • BD registered reps · 6 to 3
        Feb 26, 2015 to Apr 28, 2015
      • Assets in custody · 212684915.0 to unset
        Feb 26, 2015 to Apr 28, 2015
      • Custody of client assets · true to false
        Feb 26, 2015 to Apr 28, 2015
      • Employees · 28 to 16
        Feb 26, 2015 to Apr 28, 2015
      • Discretionary RAUM · $1.5B to $1.5B
        Feb 26, 2015 to Apr 28, 2015
      • RAUM · $1.5B to $1.5B
        Feb 26, 2015 to Apr 28, 2015
      • Accounts · 1 to 4
        Jun 26, 2013 to Jun 30, 2014
      • Advisory employees · 10 to 14
        Jun 26, 2013 to Jun 30, 2014
      • BD registered reps · 3 to 6
        Jun 26, 2013 to Jun 30, 2014
      • Assets in custody · $10,834 to $213M
        Jun 26, 2013 to Jun 30, 2014
      • Employees · 24 to 28
        Jun 26, 2013 to Jun 30, 2014
      • Discretionary RAUM · $896M to $1.5B
        Jun 26, 2013 to Jun 30, 2014
      • RAUM · $896M to $1.5B
        Jun 26, 2013 to Jun 30, 2014
      • Accounts · 3 to 1
        Nov 20, 2012 to Jun 26, 2013
      • Assets in custody · $17,000 to $10,834
        Nov 20, 2012 to Jun 26, 2013
      • Employees · 20 to 24
        Nov 20, 2012 to Jun 26, 2013
      • Discretionary RAUM · $833M to $896M
        Nov 20, 2012 to Jun 26, 2013
      • RAUM · $833M to $896M
        Nov 20, 2012 to Jun 26, 2013
      • Accounts · unset to 3.0
        Jul 16, 2012 to Nov 20, 2012
      • Advisory employees · unset to 10.0
        Jul 16, 2012 to Nov 20, 2012
      • BD registered reps · unset to 3.0
        Jul 16, 2012 to Nov 20, 2012
      • Assets in custody · unset to 17000.0
        Jul 16, 2012 to Nov 20, 2012
      • Custody of client assets · false to true
        Jul 16, 2012 to Nov 20, 2012
      • Employees · unset to 20.0
        Jul 16, 2012 to Nov 20, 2012
      • State-registered IARs · unset to 0.0
        Jul 16, 2012 to Nov 20, 2012
      • Private funds · unset to 1
        Jul 16, 2012 to Nov 20, 2012
      • Discretionary RAUM · unset to 832969959.0
        Jul 16, 2012 to Nov 20, 2012
      • Non-discretionary RAUM · unset to 0.0
        Jul 16, 2012 to Nov 20, 2012
      • RAUM · unset to 832969959.0
        Jul 16, 2012 to Nov 20, 2012
      Signals
      1 dated events
      • M•••••••• C••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Jul 16, 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