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••••• L•

Former SEC-registered adviserSeattle, WashingtonCRD 168358SEC 801-78372IAPD
Latest filing Jan 22, 2015
First filing on the tape Jul 19, 2013 · 7 filings
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Jan 22, 2015
Jul 19, 2013$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 22, 2015
Jul 19, 20130 then
Employees (5.A)1 as of Jan 22, 2015
Jul 19, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 22, 2015; 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
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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)
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
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• L•••••• T••••• · Principal And Chief Compliance Officercontrol
        since 04/2013 · owns 75% or more
      • R•••• L•••••• T••••• · Shareholder, Director, President, Secretary And Treasurercontrol
        since 02/2013 · owns 75% or more of M••••• H••••••• C••••
      Entity owners
      • M••••• H••••••• C•••• · General Partner
        direct · owns less than 5%
      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 · 1 to 0
        Mar 31, 2014 to Dec 9, 2014
      • Advisory employees · 2 to 1
        Mar 31, 2014 to Dec 9, 2014
      • Advisory activities · 1 to 2
        Mar 31, 2014 to Dec 9, 2014
      • Employees · 2 to 1
        Mar 31, 2014 to Dec 9, 2014
      • Discretionary RAUM · $110M to $0
        Mar 31, 2014 to Dec 9, 2014
      • RAUM · $110M to $0
        Mar 31, 2014 to Dec 9, 2014
      • Discretionary RAUM · $100M to $110M
        Sep 6, 2013 to Mar 31, 2014
      • RAUM · $100M to $110M
        Sep 6, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • M••••• L• filed its initial SEC registration (Form ADV)
        Jul 19, 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