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•••• G•••• A•••••••• L••
Latest filing Feb 26, 2019
First filing on the tape Sep 24, 2013 · 10 filings
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$229M as of Feb 26, 2019
Jan 24, 2014$122M then
HNW client RAUM$229M as of Feb 26, 2019
Jan 30, 2018$239M then
State-registered IARs (5.B.3)0 as of Feb 26, 2019
Jan 24, 20140 then
Employees (5.A)1 as of Feb 26, 2019
Jan 24, 20141 then
Private funds: no history
RAUM -4.1% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2019; 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
- $229MderivedHNW RAUM over HNW clients
- Average account
- $229MderivedRAUM 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
- -4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M100%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J•••• M•••••• · Managing Member; Chief Executive Officer; Chief Compliance Officercontrolsince 01/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Feb 6, 2018 to Feb 26, 2019
- Corporate clients · unset to 0.0Feb 6, 2018 to Feb 26, 2019
- HNW clients · unset to 1.0Feb 6, 2018 to Feb 26, 2019
- Individual clients · unset to 0.0Feb 6, 2018 to Feb 26, 2019
- Pension plan clients · unset to 0.0Feb 6, 2018 to Feb 26, 2019
- Discretionary RAUM · $246M to $229MFeb 6, 2018 to Feb 26, 2019
- HNW RAUM · $246M to $229MFeb 6, 2018 to Feb 26, 2019
- RAUM · $246M to $229MFeb 6, 2018 to Feb 26, 2019
- Discretionary RAUM · $239M to $246MJan 30, 2018 to Feb 6, 2018
- HNW RAUM · $239M to $246MJan 30, 2018 to Feb 6, 2018
- RAUM · $239M to $246MJan 30, 2018 to Feb 6, 2018
- Pooled vehicle clients · unset to 0.0Jan 12, 2017 to Jan 30, 2018
- Other offices · unset to 0.0Jan 12, 2017 to Jan 30, 2018
- Discretionary RAUM · $169M to $239MJan 12, 2017 to Jan 30, 2018
- HNW RAUM · unset to 238700000.0Jan 12, 2017 to Jan 30, 2018
- Individual RAUM · unset to 0.0Jan 12, 2017 to Jan 30, 2018
- Pension RAUM · unset to 0.0Jan 12, 2017 to Jan 30, 2018
- Pooled vehicle RAUM · unset to 0.0Jan 12, 2017 to Jan 30, 2018
- RAUM · $169M to $239MJan 12, 2017 to Jan 30, 2018
- Discretionary RAUM · $170M to $169MFeb 4, 2016 to Jan 12, 2017
- RAUM · $170M to $169MFeb 4, 2016 to Jan 12, 2017
- Discretionary RAUM · $133M to $170MJan 12, 2015 to Feb 2, 2016
- RAUM · $133M to $170MJan 12, 2015 to Feb 2, 2016
- Discretionary RAUM · $122M to $133MFeb 4, 2014 to Jan 12, 2015
- RAUM · $122M to $133MFeb 4, 2014 to Jan 12, 2015
- Discretionary RAUM · $101M to $122MSep 24, 2013 to Jan 24, 2014
- RAUM · $101M to $122MSep 24, 2013 to Jan 24, 2014
Signals
1 dated events
- M•••• G•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 24, 2013 · 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