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••• E•• R••••••• L••
Latest filing Mar 18, 2025
First filing on the tape Dec 11, 2013 · 34 filings
SEC status approved since Jan 8, 2014
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
87
42 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 18, 2025
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 18, 2025
Mar 31, 20140 then
Employees (5.A)87 as of Mar 18, 2025
Mar 31, 2014150 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 5 to 6
Practice profile
derived from the filing of Mar 18, 2025; 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
- unknownderived7 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 fees, subscription, otherreportedItem 5.E
- Advisory activities
- pension consulting, publications, 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
- marketing includes testimonials (5.L.1.c)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 223reported
- Charitable clients
- 78reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• N••••• M••••••••• · Ceo And Presidentcontrolsince 11/2024 · owns less than 5%
- G•••••••• R•••••• J• · Secretarycontrolsince 10/2012 · owns less than 5%
- U•••• J•••••• H••••• · Treasurercontrolsince 06/2022 · owns less than 5%
- W••••••••• A•••••• C•••• · Cfocontrolsince 10/2020 · owns less than 5%
- L•••••••• J••••• S•••••••• · Chief Compliance Officersince 10/2013 · owns less than 5%
Entity owners
- M••• I••• · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- B•••• I•••• L••• F•••••••• B•••••LP sponsorn
- B•••• I•••• L••• S•••• A••••• B•••••LP sponsorn
- B••••••••• L•••LP sponsorn
- M••• B•••• ••••••• S•••LP sponsorn
- M••• B•••• ••••••• S•••• Z••••• B•••••LP sponsorn
- M••• B•••• F•••••••• I••••••••• C••••••••• ••••••••• L•••••• ••••••LP sponsorn
- M••• E•• R•••••• A•• R••••••• P••• L•••LP sponsorn
- M••• E•• R••••••• •••••••LP sponsorn
- M••• E•• R••••••• U• L••••••LP sponsorn
- M••• E•• R•••••••• P•• L•• •••••••••LP sponsory
- M••• F•••••••• D••• A•• T•••• P••••••• L•••••• L•••••••• C••••••LP sponsorn
- M••• G••• ••••••LP sponsorn
- M••• H••• K••• L••••••LP sponsorn
- M••• K•••• L••••••LP sponsorn
- M••• S••••••• P•••••• L•••••• ••••••LP sponsorn
- M•••• S• D• R• D• C• •••••••LP sponsorn
Advisers that list M••• E•• R••••••• L•• as a related person
- 162965 y
Offices
Schedule D 1.F, the 25 largest
- Boston, MA7 employees
- Toronto, Canada6 employees
- Gaithersburg, MD2 employees
- Chicago, IL
- San Francisco, CA
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Nov 22, 2024 to Mar 18, 2025
- Advisory employees · 35 to 42Nov 22, 2024 to Mar 18, 2025
- Charity clients · 77 to 78Nov 22, 2024 to Mar 18, 2025
- Corporate clients · 340 to 394Nov 22, 2024 to Mar 18, 2025
- Pension plan clients · 214 to 223Nov 22, 2024 to Mar 18, 2025
- Employees · 103 to 87Nov 22, 2024 to Mar 18, 2025
- Financial planning clients · unset to Nov 22, 2024 to Mar 18, 2025
- Other offices · 5 to 6Nov 22, 2024 to Mar 18, 2025
- Discretionary RAUM · unset to 0.0Nov 22, 2024 to Mar 18, 2025
- Non-discretionary RAUM · unset to 0.0Nov 22, 2024 to Mar 18, 2025
- RAUM · unset to 0.0Nov 22, 2024 to Mar 18, 2025
- Advisory employees · 41 to 35Sep 13, 2023 to Mar 26, 2024
- Charity clients · 74 to 77Sep 13, 2023 to Mar 26, 2024
- Corporate clients · 349 to 340Sep 13, 2023 to Mar 26, 2024
- Pension plan clients · 200 to 214Sep 13, 2023 to Mar 26, 2024
- Employees · 112 to 103Sep 13, 2023 to Mar 26, 2024
- Advisory employees · 29 to 41Aug 8, 2022 to Mar 10, 2023
- Charity clients · 68 to 74Aug 8, 2022 to Mar 10, 2023
- Corporate clients · 267 to 349Aug 8, 2022 to Mar 10, 2023
- Pension plan clients · 172 to 200Aug 8, 2022 to Mar 10, 2023
- Employees · 84 to 112Aug 8, 2022 to Mar 10, 2023
- Advisory employees · 27 to 29Mar 8, 2022 to Mar 24, 2022
- Charity clients · 61 to 68Mar 8, 2022 to Mar 24, 2022
- Corporate clients · 170 to 267Mar 8, 2022 to Mar 24, 2022
- Pension plan clients · 128 to 172Mar 8, 2022 to Mar 24, 2022
- Employees · 75 to 84Mar 8, 2022 to Mar 24, 2022
- Other offices · 6 to 5Mar 8, 2022 to Mar 24, 2022
- Advisory employees · 28 to 27Mar 24, 2020 to Mar 10, 2021
- Charity clients · 58 to 61Mar 24, 2020 to Mar 10, 2021
- Corporate clients · 123 to 170Mar 24, 2020 to Mar 10, 2021
- Pension plan clients · 102 to 128Mar 24, 2020 to Mar 10, 2021
- Employees · 68 to 75Mar 24, 2020 to Mar 10, 2021
- Advisory employees · 25 to 28Mar 29, 2019 to Mar 24, 2020
- Charity clients · 64 to 58Mar 29, 2019 to Mar 24, 2020
- Corporate clients · 109 to 123Mar 29, 2019 to Mar 24, 2020
- Pension plan clients · 86 to 102Mar 29, 2019 to Mar 24, 2020
- Employees · 60 to 68Mar 29, 2019 to Mar 24, 2020
- Other offices · 19 to 6Mar 29, 2019 to Mar 24, 2020
- Advisory employees · 190 to 25Apr 17, 2018 to Mar 29, 2019
- Charity clients · 55 to 64Apr 17, 2018 to Mar 29, 2019
Signals
22 dated events
- M••• E•• R••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01)Sep 2, 2025 · Left the SEC roster · derived
- M•••• C•••••••• P•••••• (Director) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2024-11-21, absent 2024-11-22)Nov 22, 2024 · Control person left · inference
- N•••• E•••••• (Ceo And President) appeared on Schedule A of M••• E•• R••••••• L••Nov 21, 2024 · Control person joined · fact
- Stacey Eric Moen (Ceo And President) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2024-03-26, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Lynn Jennifer Mak (Director) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2023-07-11, absent 2023-09-13)Sep 13, 2023 · Control person left · inference
- M•••• C•••••••• P•••••• (Director) appeared on Schedule A of M••• E•• R••••••• L••Sep 13, 2023 · Control person joined · fact
- Harris Jeremy Ulan (Treasurer) appeared on Schedule A of M••• E•• R••••••• L••Aug 8, 2022 · Control person joined · fact
- M•••••• J••••••• P•••••• (Treasurer) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2022-03-24, absent 2022-08-08)Aug 8, 2022 · Control person left · inference
- Stacey Eric Moen (Ceo And President) appeared on Schedule A of M••• E•• R••••••• L••Mar 8, 2022 · Control person joined · fact
- Remy Briand (President And Ceo) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2022-02-04, absent 2022-03-08)Mar 8, 2022 · Control person left · inference
- Sallilyn Schwartz (Treasurer) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2021-03-10, absent 2021-12-06)Dec 6, 2021 · Control person left · inference
- M•••••• J••••••• P•••••• (Treasurer) appeared on Schedule A of M••• E•• R••••••• L••Dec 6, 2021 · Control person joined · fact
- Craig Andrew Wiechmann (Cfo) appeared on Schedule A of M••• E•• R••••••• L••Mar 10, 2021 · Control person joined · fact
- Susan Linda Huber (Cfo) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2020-03-24, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- M••• E•• R••••••• L•• reported 6 offices beyond its principal office, down from 19 (2019-03-29 to 2020-03-24)Mar 24, 2020 · Office count change · derived
- Susan Linda Huber (Cfo) appeared on Schedule A of M••• E•• R••••••• L••Mar 24, 2020 · Control person joined · fact
- Lynn Jennifer Mak (Director) appeared on Schedule A of M••• E•• R••••••• L••Mar 24, 2020 · Control person joined · fact
- Sallilyn Schwartz (Treasurer) appeared on Schedule A of M••• E•• R••••••• L••Mar 24, 2020 · Control person joined · fact
- Kathleen Winters (Treasurer And Cfo) no longer on Schedule A of M••• E•• R••••••• L•• (listed 2018-04-17, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Craig Andrew Wiechmann (Cfo And Treasurer) appeared on Schedule A of M••• E•• R••••••• L••Mar 29, 2019 · Control person joined · fact
- M••• E•• R••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 5, 2016 · Succession (Item 4) · fact
- M••• E•• R••••••• I••• filed its initial SEC registration (Form ADV)Dec 11, 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