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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SEC-registered adviser
M••••• C•••••• B•• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Oct 3, 2012 · 23 filings
SEC status approved since Oct 9, 2012
RAUM
$6.7B
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
101
21 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$6.7B as of Mar 27, 2026
Apr 1, 2013$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20130 then
Employees (5.A)101 as of Mar 27, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +40% over the last fiscal year+47% a year over threeIARs 0 to 0offices 5 to 6
Practice profile
derived from the filing of Mar 27, 2026; 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
- $2.2BderivedRAUM 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
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%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 investment companiesreportedItem 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
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• C•••••• P••••••• F•••• L•no longer reported | Other Private Fund | $166M | 42 | Oct 3, 2012 |
| H•••• C•••••• L•no longer reported | Other Private Fund | $400,000 | 40 | Oct 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• T•••••• C•••••• · Vice Chairman And Head Of Originationscontrolsince 03/2007 · owns less than 5%
- E•••• M••••••• J••• · Vice Chairman And Chief Credit Officercontrolsince 03/2007 · owns less than 5%
- G••••••• K••••••• R•••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- K•••••• T•••••••• L••• · Managing Member - Chief Executive Officercontrolsince 02/2011 · owns less than 5%
- U••••• Z••• N•• · Presidentcontrolsince 10/2021 · owns less than 5%
- K•••••• T•••••••• L••• · Trusteecontrolsince 02/2007 · owns F of M••• T••••
- K•••••• T•••••••• L••• · Sole Managing Membercontrolsince 02/2007 · owns F of M••••• M••••••••• H•••••• L••
- C••••••• J••••• M••••• · Chief Operating Officersince 02/2021 · owns less than 5%
- G••••••• P••••• T•••• · General Counselsince 10/2016 · owns less than 5%
- M•••••••• S••••• A••••• · Chief Financial Officersince 02/2021 · owns less than 5%
Entity owners
- M••••• C•••••• I••••••••• H•••••••• L••• · Sole Managing Memberdirect · owns 75% or more
- M••••• M••••••••• H•••••• L•• · General Partnerindirect · owns 75% or more of M••••• C•••••• I••••••••• H•••••••• L•••
- M••• T•••• · Memberindirect · owns 25% to 50% of M••••• M••••••••• H•••••• L••
Related persons
Schedule D 7.A
- H•••••• T••••••••• F••••••investment adviseryRAUM $811M
- M••••• ••• U••• P•••••• D••• F••• G• L•••pooled vehicle sponsorn
- M••••• C•••••• A•••• M•••••••• L••investment advisern
- M••••• C•••••• C•• M•••••• I• L••investment advisern
- M••••• C•••••• C•• M•••••• L••investment advisern
- M••••• C•••••• F••• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• M••••••••• A••••••• L••investment adviserbanknRAUM $19B
- M••••• C•••••• M••••••••• L••investment advisern
- M••••• C•••••• O••••••••• P•••••• C••••• F••• L••pooled vehicle sponsorn
- M••••• C•••••• O••••••••• P•••••• C••••• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• P••••••• F••• A•••••••• I••investment advisern
- M••••• C•••••• P••••••• F••• I• A•••••••• I••investment advisern
- M••••• C•••••• P••••••• F••• I•• L••pooled vehicle sponsorn
- M••••• C•••••• P••••••• F••• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• 5•• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I•• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• K••• G•• L••pooled vehicle sponsory
- M••••• C•••••• P•••••• C••••• F••• L• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• V• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• V• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• S•••• F••• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• V••••••••• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• P•••••• F••• I• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• P•••••• F••• V• G• S•••••••pooled vehicle sponsorn
- M••••• P•••••• C••••• F••• A• L••pooled vehicle sponsorn
Advisers that list M••••• C•••••• B•• A•••••••• 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 3Jan 27, 2026 to Mar 27, 2026
- Advisory employees · 14 to 21Jan 27, 2026 to Mar 27, 2026
- Employees · 71 to 101Jan 27, 2026 to Mar 27, 2026
- Insurance-licensed employees · 7 to 20Jan 27, 2026 to Mar 27, 2026
- Other offices · 5 to 6Jan 27, 2026 to Mar 27, 2026
- Discretionary RAUM · $4.8B to $6.7BJan 27, 2026 to Mar 27, 2026
- RAUM · $4.8B to $6.7BJan 27, 2026 to Mar 27, 2026
- Financial planning clients · unset to Apr 29, 2025 to Jul 28, 2025
- Other offices · 0 to 5Mar 29, 2024 to Apr 29, 2025
- Advisory employees · 15 to 14Mar 29, 2024 to Apr 29, 2025
- Employees · 35 to 71Mar 29, 2024 to Apr 29, 2025
- Insurance-licensed employees · 0 to 7Mar 29, 2024 to Apr 29, 2025
- Discretionary RAUM · $3.1B to $4.8BMar 29, 2024 to Apr 29, 2025
- RAUM · $3.1B to $4.8BMar 29, 2024 to Apr 29, 2025
- Advisory employees · 10 to 15Mar 31, 2023 to Mar 29, 2024
- Employees · 21 to 35Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.1B to $3.1BMar 31, 2023 to Mar 29, 2024
- RAUM · $2.1B to $3.1BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 9 to 10Sep 2, 2022 to Mar 31, 2023
- Employees · 15 to 21Sep 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $2.1BSep 2, 2022 to Mar 31, 2023
- RAUM · $1.3B to $2.1BSep 2, 2022 to Mar 31, 2023
- Advisory employees · 5 to 9Mar 31, 2021 to Mar 23, 2022
- Employees · 8 to 15Mar 31, 2021 to Mar 23, 2022
- Discretionary RAUM · $782M to $1.3BMar 31, 2021 to Mar 23, 2022
- RAUM · $782M to $1.3BMar 31, 2021 to Mar 23, 2022
- Discretionary RAUM · $760M to $782MMar 30, 2020 to Mar 31, 2021
- RAUM · $760M to $782MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $580M to $760MMar 27, 2019 to Mar 30, 2020
- RAUM · $580M to $760MMar 27, 2019 to Mar 30, 2020
- Accounts · 1 to 2Jan 14, 2019 to Mar 27, 2019
- Discretionary RAUM · $507M to $580MJan 14, 2019 to Mar 27, 2019
- RAUM · $507M to $580MJan 14, 2019 to Mar 27, 2019
- Related bank · false to trueJan 14, 2019 to Mar 27, 2019
- Advisory employees · 4 to 5Mar 30, 2017 to Mar 28, 2018
- Employees · 5 to 8Mar 30, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 28, 2018
- Discretionary RAUM · $425M to $507MMar 30, 2017 to Mar 28, 2018
- RAUM · $425M to $507MMar 30, 2017 to Mar 28, 2018
- Advisory employees · 8 to 4Mar 24, 2016 to Mar 30, 2017
Signals
13 dated events
- M••••• C•••••• B•• A•••••••• L•• reported RAUM $6.7B, up 40% from $4.8B (2026-01-27 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- M••••• C•••••• B•• A•••••••• L•• reported 5 offices beyond its principal office, up from 0 (2024-03-29 to 2025-04-29)Apr 29, 2025 · Office count change · derived
- M••••• C•••••• B•• A•••••••• L•• reported RAUM $4.8B, up 52% from $3.1B (2024-03-29 to 2025-04-29)Apr 29, 2025 · RAUM change · derived
- M••••• C•••••• B•• A•••••••• L•• reported RAUM $3.1B, up 49% from $2.1B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- M••••• C•••••• B•• A•••••••• L•• reported RAUM $2.1B, up 60% from $1.3B (2022-09-02 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- H David Jacobson (Chief Compliance Officer) no longer on Schedule A of M••••• C•••••• B•• A•••••••• L•• (listed 2022-03-23, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- Renee Kristan Gregory (Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• B•• A•••••••• L••Sep 2, 2022 · Control person joined · fact
- M••••• C•••••• B•• A•••••••• L•• reported RAUM $1.3B, up 68% from $782.5M (2021-03-31 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Zia Uddin (President) appeared on Schedule A of M••••• C•••••• B•• A•••••••• L••Mar 23, 2022 · Control person joined · fact
- C. Thomas Aronson (Vice Chairman And Head Of Originations) appeared on Schedule A of M••••• C•••••• B•• A•••••••• L••Mar 23, 2022 · Control person joined · fact
- J Michael Egan (Vice Chairman And Chief Credit Officer) appeared on Schedule A of M••••• C•••••• B•• A•••••••• L••Mar 23, 2022 · Control person joined · fact
- M••••• C•••••• B•• A•••••••• L•• reported RAUM $760.4M, up 31% from $579.8M (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- M••••• C•••••• B•• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 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.
How to reach
public business contact points only, each with its source
- Website
- monroebdc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312) 258-8300reportedpublic record, Form ADV, Mar 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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