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••••••• A•••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Nov 25, 2013 · 35 filings
SEC status approved since Jan 8, 2014
RAUM
$1.4B
reported, Item 5.F
Discretionary
59%
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
21
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.4B as of Mar 25, 2026
Feb 17, 2015$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Feb 17, 20150 then
Employees (5.A)21 as of Mar 25, 2026
Feb 17, 20155 then
Private funds3 as of Mar 25, 2026
Feb 28, 20181 then
RAUM +19% over the last fiscal year+6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $152MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$807M59%
- Insurance companies$558M41%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.59 institutional_share=0.41 related_bd=false related_bank=false bd_reps=1.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• I•• C••••• O••••••••• L• | Private Equity Fund | $262M | 16 | Feb 28, 2018 |
| M••••••• I•• C••••• O••••••••• I• | Private Equity Fund | $148M | 7 | Mar 27, 2023 |
| M••••••• I•• S••••• O••••••••• L• | Private Equity Fund | $51.7M | 4 | Mar 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• D••••• R•••• · Ceocontrolsince 09/2019 · owns 25% to 50%
- C••••••• D••••• L•••••• · Executive Vice Presidentcontrolsince 05/2016 · owns less than 5%
- C••••••• M•••••• · Managing Director Finance And Reportingcontrolsince 07/2020 · owns less than 5%
- N••••••• P••••• D•••• · Managing Director Operationscontrolsince 07/2020 · owns less than 5%
- O••••••• E••••• M•••••• · Ccocontrolsince 08/2015 · owns less than 5%
- T•••••• W••••••• J••• · Foundercontrolsince 09/2019 · owns less than 5%
- Z•••• K••••••• N••••• · Evp, Chief Medical Officercontrolsince 05/2016 · owns less than 5%
- B••••••••• D••••• R•••• · Ceocontrolsince 05/2016 · owns 25% to 50% of M••••••• L••
Entity owners
- M••••••• L•• · Ownerdirect · owns 75% or more
- P••• M••••• A•••• M••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- M••••••• I•• C••••• O••••••••• I• G• L••pooled vehicle sponsorn
- M••••••• I•• C••••• O••••••••• G• L••pooled vehicle sponsorn
- M••••••• I•• S••••• O••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New City, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 7 to 9Oct 10, 2025 to Mar 25, 2026
- Discretionary RAUM · $691M to $807MOct 10, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $452M to $558MOct 10, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $691M to $807MOct 10, 2025 to Mar 25, 2026
- RAUM · $1.1B to $1.4BOct 10, 2025 to Mar 25, 2026
- Advisory employees · 14 to 15Mar 24, 2025 to Oct 10, 2025
- Employees · 19 to 21Mar 24, 2025 to Oct 10, 2025
- Accounts · 8 to 7Sep 4, 2024 to Mar 24, 2025
- Financial planning clients · unset to Sep 4, 2024 to Mar 24, 2025
- Discretionary RAUM · $788M to $691MSep 4, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $386M to $452MSep 4, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $788M to $691MSep 4, 2024 to Mar 24, 2025
- RAUM · $1.2B to $1.1BSep 4, 2024 to Mar 24, 2025
- Accounts · 6 to 8Mar 27, 2023 to Mar 21, 2024
- Advisory employees · 13 to 14Mar 27, 2023 to Mar 21, 2024
- Pooled vehicle clients · 3 to 4Mar 27, 2023 to Mar 21, 2024
- Employees · 17 to 19Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $831M to $788MMar 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $303M to $386MMar 27, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $831M to $788MMar 27, 2023 to Mar 21, 2024
- RAUM · $1.1B to $1.2BMar 27, 2023 to Mar 21, 2024
- Accounts · 5 to 6Mar 29, 2022 to Mar 27, 2023
- Employees · 18 to 17Mar 29, 2022 to Mar 27, 2023
- Private funds · 2 to 3Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $554M to $831MMar 29, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $267M to $303MMar 29, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $554M to $831MMar 29, 2022 to Mar 27, 2023
- RAUM · $822M to $1.1BMar 29, 2022 to Mar 27, 2023
- Accounts · 3 to 5Feb 15, 2022 to Mar 29, 2022
- Advisory employees · 11 to 13Feb 15, 2022 to Mar 29, 2022
- Pooled vehicle clients · 2 to 3Feb 15, 2022 to Mar 29, 2022
- Employees · 15 to 18Feb 15, 2022 to Mar 29, 2022
- Discretionary RAUM · $476M to $554MFeb 15, 2022 to Mar 29, 2022
- Non-discretionary RAUM · $229M to $267MFeb 15, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $476M to $554MFeb 15, 2022 to Mar 29, 2022
- RAUM · $705M to $822MFeb 15, 2022 to Mar 29, 2022
- Related adviser · true to falseFeb 15, 2022 to Mar 29, 2022
- HQ city · EWING to NEWTOWNJun 9, 2021 to Jul 9, 2021
- HQ state · NJ to PAJun 9, 2021 to Jul 9, 2021
- Accounts · 2 to 3Jul 13, 2020 to Mar 26, 2021
Signals
9 dated events
- M••••••• A•••• M••••••••• L•• reported RAUM $1.1B, up 38% from $821.7M (2022-03-29 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- P•••• N•••••• (Managing Director Operations) appeared on Schedule A of M••••••• A•••• M••••••••• L••Jul 13, 2020 · Control person joined · fact
- M•••••• C•••••• (Managing Director Finance And Reporting) appeared on Schedule A of M••••••• A•••• M••••••••• L••Jul 13, 2020 · Control person joined · fact
- M••••••• A•••• M••••••••• L•• reported RAUM $622.7M, up 55% from $402.2M (2020-03-26 to 2020-05-06)May 6, 2020 · RAUM change · derived
- M••••••• A•••• M••••••••• L•• reported RAUM $402.2M, up 108% from $193.2M (2019-08-30 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- M••••••• A•••• M••••••••• L•• reported RAUM $253.9M, down 41% from $429.7M (2019-01-09 to 2019-03-08)Mar 8, 2019 · RAUM change · derived
- M••••••• A•••• M••••••••• L•• reported RAUM $429.7M, up 44% from $297.8M (2017-07-19 to 2018-02-28)Feb 28, 2018 · RAUM change · derived
- M••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 21, 2016 · Succession (Item 4) · fact
- M••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 267-615-6613reportedpublic record, Form ADV, Mar 25, 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
- Other 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