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SEC-registered adviser
M• F••••• A•••••••
Legal name M• F••••• A•••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Feb 7, 2013 · 18 filings
SEC status approved since Feb 18, 2013
RAUM
$204M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
73%
$149M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$204M as of Mar 10, 2026
Mar 25, 2014$89.3M then
HNW client RAUM$149M as of Mar 10, 2026
Mar 9, 2018$67.3M then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Mar 25, 20140 then
Employees (5.A)2 as of Mar 10, 2026
Mar 25, 20142 then
Private funds1 as of Mar 10, 2026
Mar 25, 20141 then
RAUM +4.8% over the last fiscal year+2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $21.2MderivedHNW RAUM over HNW clients
- Average account
- $25.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%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
- +4.8%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M73%
- Pooled investment vehicles$55.5M27%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.73 fund_share=0.27 institutional_share=0.0 related_bd=false related_bank=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• D••••••••• O••••••••• F•••• L• | Hedge Fund | $50.5M | 27 | Feb 7, 2013 |
| M• P••••• R••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $3.9M | 8 | Mar 10, 2016 |
| M• J•••• D••••••••• O••••••••• F•••• L•no longer reported | Private Equity Fund | $2.2M | 50 | Feb 7, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••• · Managing Partner, Ccocontrolsince 05/2008 · owns 75% or more
Related persons
Schedule D 7.A
- M• D••••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 10, 2026 to Sep 1, 2026
- Private funds · 1 to unsetMar 10, 2026 to Sep 1, 2026
- Succession · false to unsetMar 10, 2026 to Sep 1, 2026
- Accounts · 7 to 8Mar 10, 2025 to Mar 10, 2026
- HNW clients · 6 to 7Mar 10, 2025 to Mar 10, 2026
- Discretionary RAUM · $54.3M to $55.5MMar 10, 2025 to Mar 10, 2026
- HNW RAUM · $140M to $149MMar 10, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $140M to $149MMar 10, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · $54.3M to $55.5MMar 10, 2025 to Mar 10, 2026
- RAUM · $195M to $204MMar 10, 2025 to Mar 10, 2026
- Accounts · 6 to 7Mar 1, 2024 to Mar 10, 2025
- HNW clients · 5 to 6Mar 1, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 1, 2024 to Mar 10, 2025
- Discretionary RAUM · $50.5M to $54.3MMar 1, 2024 to Mar 10, 2025
- HNW RAUM · $115M to $140MMar 1, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $115M to $140MMar 1, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $50.5M to $54.3MMar 1, 2024 to Mar 10, 2025
- RAUM · $166M to $195MMar 1, 2024 to Mar 10, 2025
- Accounts · 8 to 6Mar 7, 2023 to Mar 1, 2024
- HNW clients · 7 to 5Mar 7, 2023 to Mar 1, 2024
- Discretionary RAUM · $56.4M to $50.5MMar 7, 2023 to Mar 1, 2024
- HNW RAUM · $135M to $115MMar 7, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $135M to $115MMar 7, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $56.4M to $50.5MMar 7, 2023 to Mar 1, 2024
- RAUM · $192M to $166MMar 7, 2023 to Mar 1, 2024
- Discretionary RAUM · $52.4M to $56.4MMar 1, 2022 to Mar 7, 2023
- HNW RAUM · $144M to $135MMar 1, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $144M to $135MMar 1, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $52.4M to $56.4MMar 1, 2022 to Mar 7, 2023
- RAUM · $197M to $192MMar 1, 2022 to Mar 7, 2023
- Accounts · 9 to 8Mar 8, 2021 to Mar 1, 2022
- HNW clients · 8 to 7Mar 8, 2021 to Mar 1, 2022
- Discretionary RAUM · $44.1M to $52.4MMar 8, 2021 to Mar 1, 2022
- HNW RAUM · $131M to $144MMar 8, 2021 to Mar 1, 2022
- Non-discretionary RAUM · $131M to $144MMar 8, 2021 to Mar 1, 2022
- Pooled vehicle RAUM · $44.1M to $52.4MMar 8, 2021 to Mar 1, 2022
- RAUM · $175M to $197MMar 8, 2021 to Mar 1, 2022
- Accounts · 14 to 9May 5, 2020 to Mar 8, 2021
- Corporate clients · 1.0 to unsetMay 5, 2020 to Mar 8, 2021
- HNW clients · 12 to 8May 5, 2020 to Mar 8, 2021
Signals
1 dated events
- M• F••••• A••••••• filed its initial SEC registration (Form ADV)Feb 7, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M• F••••• A••••••• · Family Officesshared crd · office
- M• F••••• A••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-396-4733reportedpublic record, Form ADV, Sep 1, 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
- Independent wealth managerderiveda 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