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•••••••• B••• I••••••••• L••••••

Former SEC-registered adviserLondon, CRD 165064SEC 801-77059IAPD
Latest filing Jun 30, 2014
First filing on the tape Aug 15, 2012 · 3 filings
RAUM
$679M
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
144
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$679M as of Jun 30, 2014
Jun 27, 2013$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Jun 27, 20130 then
Employees (5.A)144 as of Jun 30, 2014
Jun 27, 2013144 then
Private funds: no history
RAUM -82% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2014; 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
$20.6MderivedRAUM 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
-82%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
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
33reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• D••••• V••••• · Director & Ceocontrol
        since 07/2011 · owns less than 5%
      • P••••••• P•••• C•••••••• · Directorcontrol
        since 07/2007 · owns less than 5%
      • W•••• T••••••• C••••••• · Directorcontrol
        since 01/2008 · owns less than 5%
      • W•••••••• A•••••• C••••••••• · Directorcontrol
        since 01/2008 · owns less than 5%
      Entity owners
      • M•••••••• H••••••• ••• N•• 1• L•••••• · Direct Owner
        direct · owns 75% or more
      • M•••••••• B••• P•• L•••••• · Direct Owner
        indirect · owns 75% or more of M•••••••• B••• L••••••
      • M•••••••• B••• L•••••• · Direct Owner
        indirect · owns 75% or more of M•••••••• B••• L•••••• (London Branch)
      • M•••••••• G•••• L•••••• · Direct Owner
        indirect · owns 75% or more of M•••••••• B••• P•• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list M•••••••• B••• I••••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 33
        Jun 27, 2013 to Jun 30, 2014
      • Discretionary RAUM · $3.9B to $679M
        Jun 27, 2013 to Jun 30, 2014
      • RAUM · $3.9B to $679M
        Jun 27, 2013 to Jun 30, 2014
      • Accounts · 3 to 13
        Aug 15, 2012 to Jun 27, 2013
      • Advisory employees · unset to 4.0
        Aug 15, 2012 to Jun 27, 2013
      • BD registered reps · unset to 0.0
        Aug 15, 2012 to Jun 27, 2013
      • Employees · unset to 144.0
        Aug 15, 2012 to Jun 27, 2013
      • State-registered IARs · unset to 0.0
        Aug 15, 2012 to Jun 27, 2013
      • Discretionary RAUM · $3.9B to $3.9B
        Aug 15, 2012 to Jun 27, 2013
      • RAUM · $3.9B to $3.9B
        Aug 15, 2012 to Jun 27, 2013
      Signals
      1 dated events
      • M•••••••• B••• I••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Aug 15, 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