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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SEC-registered adviser
M•••• I••••••••• L••••••
Latest filing Apr 1, 2026
First filing on the tape May 9, 2013 · 17 filings
SEC status approved since May 20, 2013
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Apr 1, 2026
Mar 14, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 13, 20140 then
Employees (5.A)1 as of Apr 1, 2026
Mar 13, 20141 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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
- C••• A•••• · Chief Compliance Officercontrolsince 03/2022 · 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
- Accounts · unset to 0.0Feb 2, 2024 to Mar 14, 2025
- Financial planning clients · unset to Feb 2, 2024 to Mar 14, 2025
- HQ state · unset to Feb 2, 2024 to Mar 14, 2025
- Discretionary RAUM · unset to 0.0Feb 2, 2024 to Mar 14, 2025
- Non-discretionary RAUM · unset to 0.0Feb 2, 2024 to Mar 14, 2025
- RAUM · unset to 0.0Feb 2, 2024 to Mar 14, 2025
- Related broker-dealer · false to trueMar 28, 2023 to Feb 2, 2024
- Advisory employees · 1 to 0Feb 26, 2020 to Mar 29, 2021
- Corporate clients · 0.0 to unsetJun 24, 2019 to Feb 26, 2020
- Corporate clients · unset to 0.0Mar 22, 2017 to Mar 22, 2018
- Other offices · unset to 0.0Mar 22, 2017 to Mar 22, 2018
- Related broker-dealer · true to falseMar 22, 2017 to Mar 22, 2018
- BD registered reps · 1 to 0Mar 30, 2016 to Mar 22, 2017
- BD registered reps · 0 to 1Mar 17, 2014 to Mar 31, 2015
- Organization form · Corporation to Other (specify)Mar 17, 2014 to Mar 31, 2015
- Advisory activities · 2 to 1Mar 17, 2014 to Mar 31, 2015
- Related broker-dealer · false to trueMar 17, 2014 to Mar 31, 2015
- Advisory employees · 2 to 1Dec 20, 2013 to Mar 13, 2014
- Employees · 6 to 1Dec 20, 2013 to Mar 13, 2014
- State-registered IARs · 2 to 0Dec 20, 2013 to Mar 13, 2014
- Business name · M•••• I••••••••• L•• to M•••• I••••••••• L••••••May 9, 2013 to Dec 20, 2013
- Legal name · M•••• I••••••••• L•• to M•••• I••••••••• L••••••May 9, 2013 to Dec 20, 2013
Signals
5 dated events
- Yuh H••••• M••• C••• (Shareholder) no longer on Schedule A of M•••• I••••••••• L•••••• (listed 2021-03-29, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- Allen Chi (Executive Officer) appeared on Schedule A of M•••• I••••••••• L••••••Mar 17, 2022 · Control person joined · fact
- S••••• A•••••• T•••• (Executive Officer) no longer on Schedule A of M•••• I••••••••• L•••••• (listed 2020-02-26, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Yuh H••••• M••• C••• (Shareholder) appeared on Schedule A of M•••• I••••••••• L••••••Feb 26, 2020 · Control person joined · fact
- M•••• I••••••••• L•• filed its initial SEC registration (Form ADV)May 9, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- +1-202-681-0566reportedpublic record, Form ADV, Apr 1, 2026
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
- No RAUM reportedderiveda 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