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Former SEC-registered adviser

M••••••• R••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 167615SEC 801-79881IAPD
Latest filing Mar 29, 2018
First filing on the tape Jun 2, 2014 · 7 filings
RAUM
$110M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$110M gross assets
History
7 filings and snapshots on the tape
RAUM$110M as of Mar 30, 2017
Mar 13, 2015$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 13, 20150 then
Employees (5.A)5 as of Mar 30, 2017
Mar 13, 20156 then
Private funds1 as of Mar 30, 2017
Mar 13, 20151 then
RAUM -14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$27.5MderivedRAUM 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
-14%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$110M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• R••• G••••• C••••• M••••• F••• L•••Hedge Fund$16.7M10May 9, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• J•••• N•• · Limited Partner/Portfolio Manager/Ccocontrol
        since 02/2013 · owns 75% or more
      • D•••••• J•••• N•• · Managing Membercontrol
        since 02/2013 · owns 75% or more of M••••••• R••• C•••••• G• L••
      Entity owners
      • M••••••• R••• C•••••• G• L•• · General Partner Of M••••••• R••• C•••••• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••••••• R••• C•••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 109938000.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 4 to 5
        Nov 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $128M to $110M
        Nov 17, 2016 to Mar 30, 2017
      • RAUM · $128M to $110M
        Nov 17, 2016 to Mar 30, 2017
      • Advisory employees · 4 to 3
        Jul 21, 2015 to Mar 21, 2016
      • Employees · 6 to 4
        Jul 21, 2015 to Mar 21, 2016
      • Discretionary RAUM · $142M to $128M
        Jul 21, 2015 to Mar 21, 2016
      • RAUM · $142M to $128M
        Jul 21, 2015 to Mar 21, 2016
      • Advisory employees · 3 to 4
        Jun 2, 2014 to Mar 13, 2015
      • Employees · 5 to 6
        Jun 2, 2014 to Mar 13, 2015
      • Private funds · 2 to 1
        Jun 2, 2014 to Mar 13, 2015
      • Discretionary RAUM · $159M to $142M
        Jun 2, 2014 to Mar 13, 2015
      • RAUM · $159M to $142M
        Jun 2, 2014 to Mar 13, 2015
      Signals
      1 dated events
      • M••••••• R••• C•••••• L• filed its initial SEC registration (Form ADV)
        Jun 2, 2014 · 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