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• S••••••••• C••••• P••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 166845SEC 801-78261IAPD
Latest filing Aug 11, 2021
First filing on the tape Jun 24, 2013 · 12 filings
RAUM
$187M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$170M gross assets
History
12 filings and snapshots on the tape
RAUM$187M as of Mar 31, 2021
Mar 31, 2014$779M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20140 then
Employees (5.A)8 as of Mar 31, 2021
Mar 31, 20148 then
Private funds1 as of Mar 31, 2021
Mar 31, 20141 then
RAUM -53% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 11, 2021; 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
$37.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.0%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
-53%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • 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
  • Pooled investment vehicles$170M91%
  • Charitable organizations$9.1M4.9%
  • Pension and profit-sharing plans$7.7M4.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M• S••••••••• C••••• M••••• F•••• L•••Hedge Fund$170M175Mar 30, 2012
      M• O••••••••• F••• L•••Private Equity Fund$00Apr 30, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• P••••• J• · Chief Compliance Officercontrol
        since 09/2018 · owns less than 5%
      • R••••••••• M•••• S• · Co-Chief Executive Officercontrol
        since 09/2011 · owns less than 5%
      • S•••••••• N•••••• J• · Co-Chief Executive Officercontrol
        since 09/2011 · owns less than 5%
      • R••••••••• M•••• S• · Limited Partnercontrol
        since 09/2011 · owns 25% to 50% of M• S••••••••• C••••• H••••••• L•
      • S•••••••• N•••••• J• · Limited Partnercontrol
        since 09/2011 · owns 25% to 50% of M• S••••••••• C••••• H••••••• L•
      Entity owners
      • M• S••••••••• C••••• H••••••• L• · Limited Partner
        direct · owns 75% or more
      • M• S••••••••• C••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      • M• S••••••••• C••••• P••••••• G• L•• · General Partner
        indirect · owns F of M• S••••••••• C••••• H••••••• L•
      Related persons
      Schedule D 7.A
      • M• S••••••••• C••••• F••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 1 to 2
        Mar 31, 2021 to Apr 30, 2021
      • Advisory employees · 7 to 6
        Mar 26, 2020 to Mar 31, 2021
      • Employees · 9 to 8
        Mar 26, 2020 to Mar 31, 2021
      • Discretionary RAUM · $400M to $187M
        Mar 26, 2020 to Mar 31, 2021
      • Pension RAUM · $15.1M to $7.7M
        Mar 26, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $361M to $170M
        Mar 26, 2020 to Mar 31, 2021
      • RAUM · $400M to $187M
        Mar 26, 2020 to Mar 31, 2021
      • Advisory employees · 8 to 7
        Mar 27, 2019 to Mar 26, 2020
      • Employees · 12 to 9
        Mar 27, 2019 to Mar 26, 2020
      • Discretionary RAUM · $771M to $400M
        Mar 27, 2019 to Mar 26, 2020
      • Pension RAUM · $29.8M to $15.1M
        Mar 27, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $695M to $361M
        Mar 27, 2019 to Mar 26, 2020
      • RAUM · $771M to $400M
        Mar 27, 2019 to Mar 26, 2020
      • Accounts · 4 to 5
        Nov 28, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 2 to 3
        Nov 28, 2018 to Mar 27, 2019
      • Assets in custody · 0.0 to unset
        Nov 28, 2018 to Mar 27, 2019
      • Custody of client assets · true to false
        Nov 28, 2018 to Mar 27, 2019
      • Employees · 10 to 12
        Nov 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $791M to $771M
        Nov 28, 2018 to Mar 27, 2019
      • Pension RAUM · $32.2M to $29.8M
        Nov 28, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $707M to $695M
        Nov 28, 2018 to Mar 27, 2019
      • RAUM · $791M to $771M
        Nov 28, 2018 to Mar 27, 2019
      • Related adviser · true to false
        Nov 28, 2018 to Mar 27, 2019
      • Accounts · 6 to 4
        Mar 30, 2017 to Mar 28, 2018
      • Charity clients · unset to 1.0
        Mar 30, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 1.0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $1.4B to $791M
        Mar 30, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 32248873.0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 707154860.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $1.4B to $791M
        Mar 30, 2017 to Mar 28, 2018
      • Related bank · true to false
        Mar 30, 2017 to Mar 28, 2018
      • Accounts · 5 to 6
        Mar 29, 2016 to Mar 30, 2017
      • Advisory activities · 3 to 2
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.5B to $1.4B
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $1.5B to $1.4B
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $1.2B to $1.5B
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 4 to 5
        Mar 31, 2014 to Mar 31, 2015
      Signals
      6 dated events
      • M• S••••••••• C••••• P••••••• L••• reported RAUM $187.0M, down 53% from $400.4M (2020-03-26 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • M• S••••••••• C••••• P••••••• L••• reported RAUM $400.4M, down 48% from $770.7M (2019-03-27 to 2020-03-26)
        Mar 26, 2020 · RAUM change · derived
      • S Marc Rosenthal (Co-Chief Executive Officer) appeared on Schedule A of M• S••••••••• C••••• P••••••• L•••
        Mar 27, 2019 · Control person joined · fact
      • Robert Marc Rosenthal (Limited Partner) no longer on Schedule A of M• S••••••••• C••••• P••••••• L••• (listed 2018-11-28, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      • M• S••••••••• C••••• P••••••• L••• reported RAUM $791.1M, down 45% from $1.4B (2017-03-30 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • M• S••••••••• C••••• P••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 24, 2013 · 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