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••• P••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 165469SEC 801-77155IAPD
Latest filing Mar 31, 2017
First filing on the tape Sep 11, 2012 · 10 filings
RAUM
$107M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$75.0M gross assets
History
10 filings and snapshots on the tape
RAUM$107M as of Mar 31, 2017
Apr 1, 2013$30.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Apr 1, 20130 then
Employees (5.A)5 as of Mar 31, 2017
Apr 1, 20138 then
Private funds1 as of Mar 31, 2017
Mar 31, 20144 then
RAUM +11% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$53.6MderivedRAUM 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
+11%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
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
2reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••• C•• I• L••no longer reportedSecuritized Asset Fund$454M1Mar 31, 2014
      D•••• C•• I• L••no longer reportedSecuritized Asset Fund$397M1Mar 31, 2014
      D•••• C•• I••no longer reportedSecuritized Asset Fund$299M1Mar 31, 2014
      M••• P••• F•••••• 2•••••Other Private Fund$75.0M3Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• D•••••• J•••• · Clo/Coo/Ccocontrol
        since 09/2012 · owns less than 5%
      • D•••••• J•••• J••• · Ceocontrol
        since 09/2012 · owns less than 5%
      • D•••••• J•••• J••• · Partnercontrol
        since 04/2015 · owns 75% or more of Da Companies LP - Class J
      • D•••••• J•••• J••• · Managing Membercontrol
        since 04/2015 · owns 75% or more of D• C•••••••• G• L••
      • R••••••••• C••••••••• · Limited Partnercontrol
        since 04/2013 · owns 25% to 50% of M••• P••• H••••••• L• - Class B
      • R••••••••• C••••••••• · Limited Partnercontrol
        since 08/2013 · owns 25% to 50% of M••• P••• H••••••• L• - Class C
      Entity owners
      • M••• P••• H••••••• L• · M••• P••• M••••••••• L••
        direct · owns 75% or more
      • D• C•••••••• G• L•• · General Partner
        indirect · owns F of Da Companies LP
      • D• C•••••••• G• L•• · General Partner
        indirect · owns F of M••• P••• H••••••• L•
      • D• C•••••••• L• • J• S••••• · Limited Partner
        indirect · owns 75% or more of M••• P••• H••••••• L•
      Related persons
      Schedule D 7.A
      • M••• P••• A••••••• L••
        investment advisern
      Advisers that list M••• P••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $96.3M to $107M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $96.3M to $107M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 8 to 5
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 2 to 1
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $104M to $96.3M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $104M to $96.3M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 11 to 8
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 4 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $99.0M to $104M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $99.0M to $104M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 1 to 2
        Jul 12, 2013 to Mar 31, 2014
      • Advisory employees · 5 to 8
        Jul 12, 2013 to Mar 31, 2014
      • Employees · 8 to 11
        Jul 12, 2013 to Mar 31, 2014
      • Private funds · unset to 4
        Jul 12, 2013 to Mar 31, 2014
      • Discretionary RAUM · $30.8M to $99.0M
        Jul 12, 2013 to Mar 31, 2014
      • RAUM · $30.8M to $99.0M
        Jul 12, 2013 to Mar 31, 2014
      • Employees · 10 to 8
        Jan 17, 2013 to Apr 1, 2013
      • Discretionary RAUM · $31.3M to $30.8M
        Jan 17, 2013 to Apr 1, 2013
      • RAUM · $31.3M to $30.8M
        Jan 17, 2013 to Apr 1, 2013
      • Related adviser · false to true
        Jan 17, 2013 to Apr 1, 2013
      • Accounts · 0 to 1
        Sep 11, 2012 to Jan 17, 2013
      • Advisory employees · unset to 5.0
        Sep 11, 2012 to Jan 17, 2013
      • BD registered reps · unset to 0.0
        Sep 11, 2012 to Jan 17, 2013
      • Employees · unset to 10.0
        Sep 11, 2012 to Jan 17, 2013
      • State-registered IARs · unset to 0.0
        Sep 11, 2012 to Jan 17, 2013
      • Discretionary RAUM · $0 to $31.3M
        Sep 11, 2012 to Jan 17, 2013
      • RAUM · $0 to $31.3M
        Sep 11, 2012 to Jan 17, 2013
      Signals
      1 dated events
      • M••• P••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 11, 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