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••••••• P••••••• C•••••••• F•••••• L••

Former SEC-registered adviserAlpharetta, GeorgiaCRD 167302SEC 801-77831IAPD
Latest filing Mar 30, 2023
First filing on the tape Mar 22, 2013 · 17 filings
RAUM
$1.3B
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$1.3B gross assets
History
17 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2023
Mar 28, 2014$807M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 28, 20140 then
Employees (5.A)13 as of Mar 30, 2023
Mar 28, 201414 then
Private funds6 as of Mar 30, 2023
Mar 28, 20142 then
RAUM -12% over the last fiscal year-5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$210MderivedRAUM 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
-12%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 pooled vehiclesreportedItem 5.G
Custody
$1.3B, 6 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 6 clientsreported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•• C••••• A••••••• C•• I•• L•••no longer reportedSecuritized Asset Fund$362M48Mar 30, 2015
      J•• C••••• A••••••• C•• V• L•••Securitized Asset Fund$357M11Oct 1, 2018
      J•• C••••• A••••••• C•• I• L•••no longer reportedSecuritized Asset Fund$313M48Mar 28, 2014
      M••••••• P••••••• C•••••••• F•••••• C•• V••• L••Securitized Asset Fund$299M10Mar 30, 2020
      M••••••• P••••••• C•••••••• F•••••• C•• V• L•••Securitized Asset Fund$296M6Mar 30, 2020
      J•• C••••• A••••••• C•• I• L•••Securitized Asset Fund$280M13Mar 30, 2018
      M••••••• P••••••• C•••••••• F•••••• C•• V••• L•••Securitized Asset Fund$25.8M3Mar 28, 2022
      J•• C••••• A••••••• C•• I• L•••no longer reportedSecuritized Asset Fund$6.2M10Mar 30, 2012
      J•• C••••• A••••••• C•• I••••• L•••Securitized Asset Fund$439,3898Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• A•••• · Chief Compliance Officercontrol
        since 09/2021 · owns less than 5%
      • O••••••• S•••• · Managing Directorcontrol
        since 03/2019 · owns less than 5%
      • P•••••• J•••••• P• · Presidentcontrol
        since 09/2021 · owns less than 5%
      • A•••••••• M••••••• C• · President And Partnercontrol
        since 03/2018 · owns 25% to 50% of M••••••• P••••••• L•
      • R••••••• G••••••• P•••• · Manager & Membercontrol
        since 01/2018 · owns 50% to 75% of M••••••• P••••••• L•
      • S••••••••• J•••• M••••••• · Director Of P•••••• Credit And Partnercontrol
        since 01/2021 · owns F of M••••••• P••••••• L•
      • H•••• B••••• B• · Senior Advisor
        since 04/2021 · owns less than 5%
      Entity owners
      • M••••••• P••••••• L• · Member
        direct · owns 75% or more
      • M••••••• P••••••• G•••••• L•• · G•••••• Partner
        indirect · owns F of M••••••• P••••••• L•
      Related persons
      Schedule D 7.A
      • M••••••• P••••••• H•••••• G•• L••
        bankpooled vehicle sponsorn
      • M••••••• P••••••• L•
        bankpooled vehicle sponsorn
      • M••••••• P••••••• O••••••••• G•• L••
        bankpooled vehicle sponsorn
      • M••••••• P••••••• O••••••••• I•• L••
        bankpooled vehicle sponsorn
      • M••••••• P••••••• P•••••• C••••• I•• G•• L••
        bankpooled vehicle sponsorn
      Advisers that list M••••••• P••••••• C•••••••• F•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $1.4B to $1.3B
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 11 to 13
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.4B to $1.3B
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.4B to $1.3B
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $1.4B to $1.3B
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 5 to 6
        Oct 12, 2021 to Mar 28, 2022
      • Advisory employees · 7 to 8
        Oct 12, 2021 to Mar 28, 2022
      • Pooled vehicle clients · 5 to 6
        Oct 12, 2021 to Mar 28, 2022
      • Assets in custody · $1.4B to $1.4B
        Oct 12, 2021 to Mar 28, 2022
      • Employees · 9 to 11
        Oct 12, 2021 to Mar 28, 2022
      • Private funds · 5 to 6
        Oct 12, 2021 to Mar 28, 2022
      • Discretionary RAUM · $1.4B to $1.4B
        Oct 12, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $1.4B to $1.4B
        Oct 12, 2021 to Mar 28, 2022
      • RAUM · $1.4B to $1.4B
        Oct 12, 2021 to Mar 28, 2022
      • Assets in custody · $1.4B to $1.4B
        May 14, 2020 to Mar 29, 2021
      • Employees · 10 to 9
        May 14, 2020 to Mar 29, 2021
      • Discretionary RAUM · $1.5B to $1.4B
        May 14, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $1.5B to $1.4B
        May 14, 2020 to Mar 29, 2021
      • RAUM · $1.5B to $1.4B
        May 14, 2020 to Mar 29, 2021
      • Accounts · 4 to 5
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 9 to 7
        Mar 29, 2019 to Mar 30, 2020
      • BD registered reps · 1 to 0
        Mar 29, 2019 to Mar 30, 2020
      • Business name · J•• C••••• A••••••• L•• to M••••••• P••••••• C•••••••• F•••••• L••
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 4 to 5
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $1.3B to $1.4B
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 13 to 10
        Mar 29, 2019 to Mar 30, 2020
      • Legal name · J•• C••••• A••••••• L•• to M••••••• P••••••• C•••••••• F•••••• L••
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 3 to 5
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.3B to $1.5B
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.3B to $1.5B
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $1.3B to $1.5B
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 3 to 4
        Oct 1, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 4
        Oct 1, 2018 to Mar 29, 2019
      • Assets in custody · $1.2B to $1.3B
        Oct 1, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.2B to $1.3B
        Oct 1, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.2B to $1.3B
        Oct 1, 2018 to Mar 29, 2019
      • RAUM · $1.2B to $1.3B
        Oct 1, 2018 to Mar 29, 2019
      • Related bank · false to true
        Oct 1, 2018 to Mar 29, 2019
      • Assets in custody · $812M to $1.2B
        Mar 30, 2018 to Oct 1, 2018
      • Employees · 14 to 13
        Mar 30, 2018 to Oct 1, 2018
      Signals
      9 dated events
      • C Michael Ardisson (President And Partner) appeared on Schedule A of M••••••• P••••••• C•••••••• F•••••• L••
        Mar 28, 2022 · Control person joined · fact
      • Mitchell John Slonieski (Director Of Private Credit And Partner) appeared on Schedule A of M••••••• P••••••• C•••••••• F•••••• L••
        Mar 28, 2022 · Control person joined · fact
      • A•••• L•••• (Chief Compliance Officer) appeared on Schedule A of M••••••• P••••••• C•••••••• F•••••• L••
        Oct 12, 2021 · Control person joined · fact
      • Robert Craig Kitchin (President, Cfo, Cco And Secretary) no longer on Schedule A of M••••••• P••••••• C•••••••• F•••••• L•• (listed 2021-07-16, absent 2021-10-12)
        Oct 12, 2021 · Control person left · inference
      • Thomas Brian Herr (Manager & Member) no longer on Schedule A of M••••••• P••••••• C•••••••• F•••••• L•• (listed 2020-05-14, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • Peter Gregory Richter (Manager & Member) appeared on Schedule A of M••••••• P••••••• C•••••••• F•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Thomas Brian Herr (Manager & Member) appeared on Schedule A of M••••••• P••••••• C•••••••• F•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • M••••••• P••••••• C•••••••• F•••••• L•• reported RAUM $1.2B, up 31% from $924.0M (2018-03-30 to 2018-10-01)
        Oct 1, 2018 · RAUM change · derived
      • J•• C••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 22, 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