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•• F•••• M••••••••• L••
Latest filing May 4, 2026
First filing on the tape Apr 17, 2013 · 23 filings
SEC status approved since Apr 9, 2026
RAUM
$25.8M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$25.8M as of May 4, 2026
Mar 14, 2014$90.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 4, 2026
Mar 14, 20140 then
Employees (5.A)4 as of May 4, 2026
Mar 14, 20146 then
Private funds1 as of May 4, 2026
Mar 14, 20142 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $25.8MderivedRAUM 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
- $25.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $25.8M, 1 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$25.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.8M for 1 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| H•••••• F••• I• L• | Private Equity Fund | $23.6M | 10 | Apr 17, 2013 |
| H•••••• F••• I••••••••• S•• | Private Equity Fund | $22.0M | 1 | Mar 14, 2014 |
Owners and control persons
Schedule A and B, latest filing
- K•••• E••• S••• · Managing Membercontrolsince 07/2010 · owns 10% to 25%
- M••••• W••••••• B••••••• · Managing Membercontrolsince 07/2010 · owns 10% to 25%
- K•••• E••• S••• · Managing Membercontrolsince 05/2006 · owns 25% to 50% of M•••• A•••••• P•••••••• L••
- M••••• W••••••• B••••••• · Managing Membercontrolsince 06/1988 · owns 25% to 50% of M•••• A•••••• P•••••••• L••
- V•• O•••••••• E••• D• M•• A•••••••• · Membercontrolsince 06/1988 · owns 50% to 75% of M•••• A•••••• P•••••••• L••
- S•••••• I••• J•••••• F•••••• · Chief Compliance Officersince 11/2021 · owns less than 5%
Entity owners
- M•••• A•••••• P•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•••••• H••••••• L••pooled vehicle sponsory
- M•••• A•••••• P•••••••• L••investment adviserpooled vehicle sponsoryRAUM $864M
Advisers that list M•• F•••• M••••••••• L•• as a related person
- 106920 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Oct 11, 2022 to Mar 10, 2026
- Advisory employees · 2 to 1Oct 11, 2022 to Mar 10, 2026
- Advisory activities · 3 to 1Oct 11, 2022 to Mar 10, 2026
- Business name · H•••••• F•••• M••••••••• L•• to M•• F•••• M••••••••• L••Oct 11, 2022 to Mar 10, 2026
- Charity clients · 1.0 to unsetOct 11, 2022 to Mar 10, 2026
- Assets in custody · $32.7M to $25.8MOct 11, 2022 to Mar 10, 2026
- Financial planning clients · unset to Oct 11, 2022 to Mar 10, 2026
- Legal name · H•••••• F•••• M••••••••• L•• to M•• F•••• M••••••••• L••Oct 11, 2022 to Mar 10, 2026
- Discretionary RAUM · $32.7M to $25.8MOct 11, 2022 to Mar 10, 2026
- Non-discretionary RAUM · $11.6M to $0Oct 11, 2022 to Mar 10, 2026
- Pooled vehicle RAUM · $32.7M to $25.8MOct 11, 2022 to Mar 10, 2026
- RAUM · $44.3M to $25.8MOct 11, 2022 to Mar 10, 2026
- Related bank · false to trueOct 11, 2022 to Mar 10, 2026
- Accounts · 3 to 2Nov 1, 2021 to Mar 27, 2022
- Pooled vehicle clients · 2 to 1Nov 1, 2021 to Mar 27, 2022
- Assets in custody · $49.6M to $32.7MNov 1, 2021 to Mar 27, 2022
- Private funds · 2 to 1Nov 1, 2021 to Mar 27, 2022
- Discretionary RAUM · $49.6M to $32.7MNov 1, 2021 to Mar 27, 2022
- Non-discretionary RAUM · $10.4M to $11.6MNov 1, 2021 to Mar 27, 2022
- Pooled vehicle RAUM · $49.6M to $32.7MNov 1, 2021 to Mar 27, 2022
- RAUM · $60.0M to $44.3MNov 1, 2021 to Mar 27, 2022
- Assets in custody · $43.5M to $49.6MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $43.5M to $49.6MMar 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $8.9M to $10.4MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $43.5M to $49.6MMar 30, 2020 to Mar 31, 2021
- RAUM · $52.4M to $60.0MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $38.0M to $43.5MMar 28, 2019 to Mar 30, 2020
- Other offices · 1 to 0Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $38.0M to $43.5MMar 28, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $7.3M to $8.9MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $38.0M to $43.5MMar 28, 2019 to Mar 30, 2020
- RAUM · $45.2M to $52.4MMar 28, 2019 to Mar 30, 2020
- Accounts · 2 to 3Jul 12, 2018 to Mar 28, 2019
- Advisory activities · 2 to 3Jul 12, 2018 to Mar 28, 2019
- Charity clients · unset to 1.0Jul 12, 2018 to Mar 28, 2019
- Assets in custody · $38.0M to $38.0MJul 12, 2018 to Mar 28, 2019
- Discretionary RAUM · $38.0M to $38.0MJul 12, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $0 to $7.3MJul 12, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $38.0M to $38.0MJul 12, 2018 to Mar 28, 2019
- RAUM · $38.0M to $45.2MJul 12, 2018 to Mar 28, 2019
Signals
2 dated events
- Amanda Velluto (Chief Compliance Officer) no longer on Schedule A of M•• F•••• M••••••••• L•• (listed 2021-03-31, absent 2021-11-01)Nov 1, 2021 · Control person left · inference
- H•••••• F•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•• F•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H•••••• F•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 781-639-2750reportedpublic record, Form ADV, May 4, 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