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••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Sep 14, 2016 · 18 filings
SEC status approved since Sep 23, 2016
RAUM
$821M
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
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$821M as of Mar 17, 2026
Feb 17, 2017$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Feb 17, 20170 then
Employees (5.A)8 as of Mar 17, 2026
Feb 17, 20175 then
Private funds3 as of Mar 17, 2026
Feb 17, 20173 then
RAUM +25% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $117MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%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 vehicles, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$814M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=true 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• A••••••••• L••• | Hedge Fund | $488M | 141 | Mar 19, 2014 |
| M••• S••• S•••••• L• | Hedge Fund | $55.2M | 51 | Mar 18, 2021 |
| M••• P•••• L•••no longer reported | Hedge Fund | $24.5M | 5 | Mar 19, 2014 |
| M••• C•••••• L••• | Hedge Fund | $20.2M | 12 | Aug 15, 2013 |
| M••• S•••• T••• S••••••• L• | Hedge Fund | $16.8M | 5 | Mar 25, 2019 |
| M••• A•••••••• L•••no longer reported | Hedge Fund | $12.9M | 5 | Mar 19, 2014 |
| M••• V•••••••• L•••no longer reported | Private Equity Fund | $4.0M | 38 | Jan 28, 2016 |
| M••• C•••••• L•••no longer reported | Hedge Fund | $3.5M | 12 | Mar 19, 2014 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• J••••• M••• · Managing Membercontrolsince 06/2010 · owns 50% to 75%
- M•••• J••••••• S••••• · Chief Operating Officer / Chief Compliance Officercontrolsince 02/2015 · owns less than 5%
- L•••••• M•••••• · Trusteecontrolsince 06/2018 · owns F of 2••• L••••• C•••••••• T••••
Entity owners
- 2••• L••••• C•••••••• T•••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- M••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $660M to $821MMar 17, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $655M to $814MMar 17, 2025 to Mar 17, 2026
- RAUM · $660M to $821MMar 17, 2025 to Mar 17, 2026
- Financial planning clients · unset to Mar 13, 2024 to Mar 17, 2025
- Discretionary RAUM · $525M to $660MMar 13, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $525M to $655MMar 13, 2024 to Mar 17, 2025
- RAUM · $525M to $660MMar 13, 2024 to Mar 17, 2025
- Accounts · 9 to 7Mar 14, 2023 to Mar 13, 2024
- Pooled vehicle clients · 8 to 6Mar 14, 2023 to Mar 13, 2024
- Employees · 9 to 8Mar 14, 2023 to Mar 13, 2024
- Private funds · 4 to 3Mar 14, 2023 to Mar 13, 2024
- Discretionary RAUM · $493M to $525MMar 14, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $490M to $525MMar 14, 2023 to Mar 13, 2024
- RAUM · $493M to $525MMar 14, 2023 to Mar 13, 2024
- Advisory employees · 6 to 7Jan 11, 2023 to Mar 14, 2023
- Employees · 8 to 9Jan 11, 2023 to Mar 14, 2023
- Discretionary RAUM · $489M to $493MJan 11, 2023 to Mar 14, 2023
- Pooled vehicle RAUM · $488M to $490MJan 11, 2023 to Mar 14, 2023
- RAUM · $489M to $493MJan 11, 2023 to Mar 14, 2023
- HQ city · INWOOD to WOODMEREApr 28, 2022 to Jan 11, 2023
- Accounts · 8 to 9Apr 26, 2021 to Mar 17, 2022
- Pooled vehicle clients · 7 to 8Apr 26, 2021 to Mar 17, 2022
- Discretionary RAUM · $500M to $489MApr 26, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $491M to $488MApr 26, 2021 to Mar 17, 2022
- RAUM · $500M to $489MApr 26, 2021 to Mar 17, 2022
- Accounts · 7 to 8Apr 7, 2020 to Mar 18, 2021
- Pooled vehicle clients · 6 to 7Apr 7, 2020 to Mar 18, 2021
- Private funds · 3 to 4Apr 7, 2020 to Mar 18, 2021
- Discretionary RAUM · $379M to $500MApr 7, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $373M to $491MApr 7, 2020 to Mar 18, 2021
- RAUM · $379M to $500MApr 7, 2020 to Mar 18, 2021
- Accounts · 8 to 7Apr 11, 2019 to Mar 18, 2020
- Pooled vehicle clients · 8 to 6Apr 11, 2019 to Mar 18, 2020
- Private funds · 4 to 3Apr 11, 2019 to Mar 18, 2020
- Discretionary RAUM · $255M to $379MApr 11, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $255M to $373MApr 11, 2019 to Mar 18, 2020
- RAUM · $255M to $379MApr 11, 2019 to Mar 18, 2020
- Discretionary RAUM · $204M to $255MMar 25, 2019 to Apr 11, 2019
- Pooled vehicle RAUM · $204M to $255MMar 25, 2019 to Apr 11, 2019
- RAUM · $204M to $255MMar 25, 2019 to Apr 11, 2019
Signals
6 dated events
- M••• A••••••• L•• reported RAUM $659.6M, up 26% from $525.2M (2024-03-13 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- M••• A••••••• L•• reported RAUM $500.3M, up 32% from $379.1M (2020-04-07 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- M••• A••••••• L•• reported RAUM $379.1M, up 48% from $255.4M (2019-04-11 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- N•••••••• F••••• (Trustee) no longer on Schedule A of M••• A••••••• L•• (listed 2018-04-03, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
- Michael Lieber (Trustee) appeared on Schedule A of M••• A••••••• L••Mar 25, 2019 · Control person joined · fact
- M••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 14, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 516-400-9757reportedpublic record, Form ADV, Mar 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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