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••••• T•••••• P••••••• L•••

Former SEC-registered adviserCleveland, OhioCRD 165776SEC 801-77281IAPD
Latest filing Mar 29, 2016
First filing on the tape Oct 16, 2012 · 5 filings
RAUM
$506M
reported, Item 5.F
Discretionary
93%
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
10
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$443M gross assets
History
5 filings and snapshots on the tape
RAUM$506M as of Mar 29, 2016
Apr 1, 2013$491M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)10 as of Mar 29, 2016
Apr 1, 201310 then
Private funds3 as of Mar 29, 2016
Apr 1, 20132 then
RAUM -58% over the last fiscal year+1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$72.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-58%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• C••••• M••••• F••• L•••Hedge Fund$228M18Mar 30, 2012
      S•••• M••• C••••• F••• L••••••Hedge Fund$196M1Oct 16, 2012
      M••••••••• M•••••••• M••••• F••• L•••no longer reportedHedge Fund$55.4M1Mar 31, 2014
      M••• I• P••••••• L•••Private Equity Fund$19.4M6Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• C••••• E•••••• · Ceo, Managing Principal And L•••••• Partnercontrol
        since 10/2010 · owns 25% to 50%
      • W••••• R•••••• H••••• · Chief Compliance Officer And General Counselcontrol
        since 10/2010 · owns less than 5%
      • W•••••• C••••••••• C••• J•••• · Chief Operating Officercontrol
        since 10/2010 · owns less than 5%
      • Z••••••••• B••••• C••••••••• · President, Managing Principal And L•••••• Partnercontrol
        since 10/2010 · owns 25% to 50%
      • P••••••••• M•••• R•••••• · L•••••• Partnercontrol
        since 04/2010 · owns 25% to 50% of M••• H••••••• L•••
      • R•••• C••••• E•••••• · Membercontrol
        since 10/2010 · owns 25% to 50% of M••• C••••• T•••••• P••••••• G• L••
      • Z••••••••• B••••• C••••••••• · Membercontrol
        since 10/2010 · owns 25% to 50% of M••• C••••• T•••••• P••••••• G• L••
      Entity owners
      • M••••••••• A•••• M••••••••• L••• · L•••••• Partner
        direct · owns 50% to 75%
      • M••• C••••• T•••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      • A••••• W•••• A•••••••• C• H•••••••• A• · L•••••• Partner
        indirect · owns 25% to 50% of M••••••••• A•••• M••••••••• L••• · public reporting company
      • M••••••••• A•••• M••••••••• L••• · Member
        indirect · owns 50% to 75% of M••• C••••• T•••••• P••••••• G• L••
      • M••• H••••••• L••• · L•••••• Partner
        indirect · owns 50% to 75% of M••••••••• A•••• M••••••••• L•••
      Related persons
      Schedule D 7.A
      • M••••••••• C••••• F••• G• L••
        bankpooled vehicle sponsorn
      • M••••••••• G••••• A••••••• L••
        investment adviserbanknRAUM $1.5B
      • M• S••••••••• C••••• P••••••• L•••
        investment adviserbankn
      • M• S••••• C••••• P••••••• L•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 10
        Mar 31, 2015 to Mar 29, 2016
      • Advisory activities · 3 to 4
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 12 to 10
        Mar 31, 2015 to Mar 29, 2016
      • Private funds · 2 to 3
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.2B to $471M
        Mar 31, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $0 to $34.4M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $1.2B to $506M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 8 to 7
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 11 to 12
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $531M to $1.2B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $531M to $1.2B
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 5 to 8
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 4 to 5
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 10 to 11
        Apr 1, 2013 to Mar 31, 2014
      • Private funds · 2 to 3
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $491M to $531M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $491M to $531M
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 3 to 5
        Oct 16, 2012 to Apr 1, 2013
      • Advisory employees · unset to 4.0
        Oct 16, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 3
        Oct 16, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Oct 16, 2012 to Apr 1, 2013
      • Business name · M••• C••••• T•••••• P•••••••• L••• to M••• C••••• T•••••• P••••••• L•••
        Oct 16, 2012 to Apr 1, 2013
      • Assets in custody · unset to 0.0
        Oct 16, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Oct 16, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Oct 16, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Oct 16, 2012 to Apr 1, 2013
      • Legal name · M••• C••••• T•••••• P•••••••• L••• to M••• C••••• T•••••• P••••••• L•••
        Oct 16, 2012 to Apr 1, 2013
      • Discretionary RAUM · $409M to $491M
        Oct 16, 2012 to Apr 1, 2013
      • RAUM · $409M to $491M
        Oct 16, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • M••• C••••• T•••••• P•••••••• L••• filed its initial SEC registration (Form ADV)
        Oct 16, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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