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••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 168181SEC 801-78502IAPD
Latest filing Mar 27, 2019
First filing on the tape Aug 22, 2013 · 14 filings
RAUM
$197M
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
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$27.8M gross assets
History
14 filings and snapshots on the tape
RAUM$197M as of Mar 27, 2019
Apr 2, 2014$40.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Apr 2, 20140 then
Employees (5.A)16 as of Mar 27, 2019
Apr 2, 20149 then
Private funds1 as of Mar 27, 2019
Apr 2, 20141 then
RAUM +606% over the last fiscal year+164% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2019; 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
$65.5MderivedRAUM 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
+606%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 vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$161M82%
  • Pooled investment vehicles$35.5M18%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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••••••• G••••• P•••••••• C•••Hedge Fund$27.8M10Apr 13, 2018
      M••••••• G••••• E••••• F••• L••no longer reportedHedge Fund$5.9M3Aug 22, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• H••••• K••• M••• · Chief Risk Officercontrol
        since 11/2014 · owns less than 5%
      • C••••••••• J••••• A••••• · Research Team Headcontrol
        since 03/2018 · owns less than 5%
      • P•••••• D•••••• H•••••• · Chief Executive Officercontrol
        since 01/2017 · owns less than 5%
      • W•••• J•••••• A••• · Trusteecontrol
        since 10/2005 · owns 50% to 75% of T•• W••• R•••••••• T••••
      • W•••• M•••• · Trusteecontrol
        since 10/2005 · owns 50% to 75% of T•• W••• R•••••••• T••••
      • E•••••• J•••••• J••••• · Research Team Head
        since 03/2018 · owns less than 5%
      • K•••••• J•••• A• · Chief Compliance Officer
        since 11/2017 · owns less than 5%
      Entity owners
      • T•• C•••••• F••• L•• · Member
        direct · owns 75% or more
      • G•••• P••••••• L•• · Member
        indirect · owns 25% to 50% of T•• C•••••• F••• L••
      • W•••• T•••• R•••••• I•• · Partner
        indirect · owns F of W•••• T•••• R••••• F•••• L•••
      • T•• W••• R•••••••• T•••• · Member
        direct · owns 10% to 25%
      • W•••• T•••• R••••• F•••• L••• · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list M••••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 3
        Apr 13, 2018 to Mar 27, 2019
      • Advisory employees · 4 to 9
        Apr 13, 2018 to Mar 27, 2019
      • Advisory activities · 2 to 3
        Apr 13, 2018 to Mar 27, 2019
      • BD registered reps · 3 to 1
        Apr 13, 2018 to Mar 27, 2019
      • Employees · 15 to 16
        Apr 13, 2018 to Mar 27, 2019
      • Discretionary RAUM · $27.8M to $197M
        Apr 13, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $27.8M to $35.5M
        Apr 13, 2018 to Mar 27, 2019
      • RAUM · $27.8M to $197M
        Apr 13, 2018 to Mar 27, 2019
      • Accounts · 3 to 1
        Mar 30, 2017 to Apr 13, 2018
      • Advisory employees · 8 to 4
        Mar 30, 2017 to Apr 13, 2018
      • BD registered reps · 0 to 3
        Mar 30, 2017 to Apr 13, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Apr 13, 2018
      • Employees · 16 to 15
        Mar 30, 2017 to Apr 13, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Apr 13, 2018
      • Private funds · unset to 1
        Mar 30, 2017 to Apr 13, 2018
      • Discretionary RAUM · $25.4M to $27.8M
        Mar 30, 2017 to Apr 13, 2018
      • Pooled vehicle RAUM · unset to 27824238.0
        Mar 30, 2017 to Apr 13, 2018
      • RAUM · $25.4M to $27.8M
        Mar 30, 2017 to Apr 13, 2018
      • Related broker-dealer · true to false
        Mar 30, 2017 to Apr 13, 2018
      • Accounts · 2 to 3
        Jan 23, 2017 to Mar 30, 2017
      • Advisory employees · 6 to 8
        Jan 23, 2017 to Mar 30, 2017
      • Assets in custody · 1600000.0 to unset
        Jan 23, 2017 to Mar 30, 2017
      • Custody of client assets · true to false
        Jan 23, 2017 to Mar 30, 2017
      • Employees · 14 to 16
        Jan 23, 2017 to Mar 30, 2017
      • Private funds · 1 to unset
        Jan 23, 2017 to Mar 30, 2017
      • Discretionary RAUM · $26.6M to $25.4M
        Jan 23, 2017 to Mar 30, 2017
      • RAUM · $26.6M to $25.4M
        Jan 23, 2017 to Mar 30, 2017
      • Accounts · 3 to 2
        Mar 30, 2016 to Oct 7, 2016
      • Advisory activities · 1 to 2
        Mar 30, 2016 to Oct 7, 2016
      • Assets in custody · $5.9M to $1.6M
        Mar 30, 2016 to Oct 7, 2016
      • Discretionary RAUM · $10.7M to $26.6M
        Mar 30, 2016 to Oct 7, 2016
      • RAUM · $10.7M to $26.6M
        Mar 30, 2016 to Oct 7, 2016
      • Accounts · 4 to 3
        Mar 2, 2016 to Mar 30, 2016
      • Advisory employees · 7 to 6
        Mar 2, 2016 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Mar 2, 2016 to Mar 30, 2016
      • Assets in custody · $4.5M to $5.9M
        Mar 2, 2016 to Mar 30, 2016
      • Employees · 11 to 14
        Mar 2, 2016 to Mar 30, 2016
      • HQ city · NEW YORK to SAN FRANCISCO
        Mar 2, 2016 to Mar 30, 2016
      • HQ state · NY to CA
        Mar 2, 2016 to Mar 30, 2016
      • Discretionary RAUM · $36.1M to $10.7M
        Mar 2, 2016 to Mar 30, 2016
      Signals
      1 dated events
      • M••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 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