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••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167354SEC 801-77920IAPD
Latest filing Jan 4, 2022
First filing on the tape Apr 1, 2013 · 20 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
42%
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
42
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$324M gross assets
History
20 filings and snapshots on the tape
RAUM$1.8B as of Mar 31, 2021
Mar 31, 2014$1.0B then
HNW client RAUM$0 as of Mar 31, 2021
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20140 then
Employees (5.A)42 as of Mar 31, 2021
Mar 31, 201460 then
Private funds8 as of Mar 31, 2021
Mar 31, 20143 then
RAUM -8.7% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 4, 2022; 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
$79.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
80%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
-8.7%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
Custody
$366M, 9 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)
  • 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
  • Insurance companies$1.5B80%
  • Pooled investment vehicles$363M20%
  • Corporations and businesses$189,0990.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
23reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$366M for 9 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
      C•••• I••••••• H••••••• I• L••Private Equity Fund$52.2M3Mar 31, 2019
      M••••• C••••• S••••••••• •••• L••no longer reportedPrivate Equity Fund$38.1M1Mar 31, 2017
      A••••••••• I••••••••• P••••••• B• L•Private Equity Fund$29.3M1Mar 31, 2019
      M••••• C••••• O••••••••• F••• L•Private Equity Fund$28.6M3Mar 31, 2017
      M••••• O••••••••• F••• L•no longer reportedHedge Fund$27.7M26Apr 1, 2013
      A••••••••• I••••••••• P••••••• A• L•Private Equity Fund$14.4M1Mar 31, 2017
      M••••• T••••••• O••••••••• L••no longer reportedPrivate Equity Fund$1.1M3Mar 30, 2018
      M••••• R••• D• •••••••• L••Private Equity Fund$14,9163Mar 31, 2017
      M••••• C•••••• H••••••• L••no longer reportedPrivate Equity Fund$6,5293Mar 31, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• D•••• C••••••••• · President And Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      • T••••• B••••• B••••• · Managercontrol
        since 02/2006 · owns less than 5%
      • T••••• S•••• B••••• · Managercontrol
        since 02/2006 · owns less than 5%
      • A••••••• R••••••• T••••• · Chief Financial Officer
        since 07/2010 · owns less than 5%
      Entity owners
      • M••••• L•• · Member
        direct · owns 75% or more
      • M••••• M••••••••• I••• · Managing Member
        indirect · owns 75% or more of M••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • M•• A••••••• L••
        investment advisernRAUM $432M
      • M••• G• L••
        pooled vehicle sponsorn
      • M••• M••••••••• L••
        investment advisern
      • M••••• ••••••• G• L••
        pooled vehicle sponsorn
      • M••••• ••••••• M••••••••• L••
        investment advisern
      • M••••• S•• A••••••• L••
        investment advisern
      • M•• I• G• L••
        pooled vehicle sponsorn
      • M•• I• M••••••••• L••
        investment advisern
      • M•• I•• G• L••
        pooled vehicle sponsorn
      • M•• I•• M••••••••• L••
        investment advisern
      • M•• I•• O••••••• G• L••
        pooled vehicle sponsorn
      • S•• A••••••• L••
        investment adviserbanknRAUM $678M
      • S•• A••••••• L••
        investment advisern
      • S••• A•••••••
        investment advisernRAUM $1.8M
      Advisers that list M••••• C•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 25 to 23
        May 15, 2020 to Mar 31, 2021
      • Advisory employees · 29 to 19
        May 15, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 10 to 8
        May 15, 2020 to Mar 31, 2021
      • Assets in custody · $512M to $366M
        May 15, 2020 to Mar 31, 2021
      • Employees · 64 to 42
        May 15, 2020 to Mar 31, 2021
      • Financial planning clients · unset to 11-25
        May 15, 2020 to Mar 31, 2021
      • Private funds · 10 to 8
        May 15, 2020 to Mar 31, 2021
      • Discretionary RAUM · $904M to $763M
        May 15, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $1.1B to $1.1B
        May 15, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $478M to $363M
        May 15, 2020 to Mar 31, 2021
      • RAUM · $2.0B to $1.8B
        May 15, 2020 to Mar 31, 2021
      • Advisory employees · 32 to 29
        Mar 31, 2019 to May 15, 2020
      • Assets in custody · $720M to $512M
        Mar 31, 2019 to May 15, 2020
      • Employees · 67 to 64
        Mar 31, 2019 to May 15, 2020
      • Other offices · 1 to 0
        Mar 31, 2019 to May 15, 2020
      • Discretionary RAUM · $1.1B to $904M
        Mar 31, 2019 to May 15, 2020
      • Non-discretionary RAUM · $1.2B to $1.1B
        Mar 31, 2019 to May 15, 2020
      • Pooled vehicle RAUM · $652M to $478M
        Mar 31, 2019 to May 15, 2020
      • RAUM · $2.3B to $2.0B
        Mar 31, 2019 to May 15, 2020
      • Accounts · 22 to 25
        Mar 30, 2018 to Mar 31, 2019
      • Advisory employees · 45 to 32
        Mar 30, 2018 to Mar 31, 2019
      • Pooled vehicle clients · 7 to 10
        Mar 30, 2018 to Mar 31, 2019
      • Assets in custody · $690M to $720M
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 85 to 67
        Mar 30, 2018 to Mar 31, 2019
      • Private funds · 7 to 10
        Mar 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $1.1B to $1.1B
        Mar 30, 2018 to Mar 31, 2019
      • Non-discretionary RAUM · $1.3B to $1.2B
        Mar 30, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $649M to $652M
        Mar 30, 2018 to Mar 31, 2019
      • RAUM · $2.4B to $2.3B
        Mar 30, 2018 to Mar 31, 2019
      • Charity clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Corporate clients · unset to 1.0
        Apr 21, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 7.0
        Apr 21, 2017 to Mar 30, 2018
      • Assets in custody · $583M to $690M
        Apr 21, 2017 to Mar 30, 2018
      • Employees · 75 to 85
        Apr 21, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Apr 21, 2017 to Mar 30, 2018
      • Private funds · 6 to 7
        Apr 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.2B to $1.1B
        Apr 21, 2017 to Mar 30, 2018
      Signals
      5 dated events
      • Christopher Dean Crowe (President And Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• L••
        Jan 4, 2022 · Control person joined · fact
      • Nathan Bryce (Chief Compliance Officer) no longer on Schedule A of M••••• C•••••• L•• (listed 2021-03-31, absent 2022-01-04)
        Jan 4, 2022 · Control person left · inference
      • Bennett Jeffrey Tonkel (Manager) no longer on Schedule A of M••••• C•••••• L•• (listed 2020-05-15, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Nathan Bryce (Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• L••
        Mar 31, 2021 · Control person joined · fact
      • M••••• C•••••• filed its initial SEC registration (Form ADV)
        Apr 1, 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