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• A•••• M••••••••• I•••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 169461SEC 801-78863IAPD
Latest filing Oct 27, 2015
First filing on the tape Nov 20, 2013 · 12 filings
RAUM
$36.3M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.3M
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
12 filings and snapshots on the tape
RAUM$36.3M as of Oct 27, 2015
Jan 3, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Oct 27, 2015
Nov 20, 20130 then
Employees (5.A)1 as of Oct 27, 2015
Nov 20, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 27, 2015; every figure names its basis
RAUM per advisor
$36.3MderivedRAUM 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
$320,867derivedRAUM over accounts (5.F.2.f)
Discretionary
65%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
113reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• D•••••• K••Pasadena, CaJan 3, 201425 y5
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••• D••••• D•••••• · Chief Executive Officer / Chief Compliance Officercontrol
      since 05/2015 · owns less than 5%
    • K••• D••••• D•••••• · Ownercontrol
      since 12/2013 · owns 75% or more of M• A•••• M••••••••• I•••••••••
    Entity owners
    • M• A•••• M••••••••• I••••••••• · Owner
      direct · owns 75% or more
    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
    • Financial planning clients · unset to 0
      Aug 18, 2015 to Sep 14, 2015
    • Advisory employees · 4 to 1
      Apr 20, 2015 to Jun 4, 2015
    • BD registered reps · 1 to 0
      Apr 20, 2015 to Jun 4, 2015
    • Employees · 5 to 1
      Apr 20, 2015 to Jun 4, 2015
    • State-registered IARs · 4 to 1
      Apr 20, 2015 to Jun 4, 2015
    • Accounts · 0 to 113
      Jan 3, 2014 to Mar 27, 2015
    • Advisory employees · 3 to 4
      Jan 3, 2014 to Mar 27, 2015
    • BD registered reps · 0 to 1
      Jan 3, 2014 to Mar 27, 2015
    • Employees · 4 to 5
      Jan 3, 2014 to Mar 27, 2015
    • State-registered IARs · 3 to 4
      Jan 3, 2014 to Mar 27, 2015
    • Discretionary RAUM · $0 to $23.5M
      Jan 3, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $0 to $12.8M
      Jan 3, 2014 to Mar 27, 2015
    • RAUM · $0 to $36.3M
      Jan 3, 2014 to Mar 27, 2015
    • Accounts · unset to 0.0
      Nov 20, 2013 to Jan 3, 2014
    • Advisory employees · 0 to 3
      Nov 20, 2013 to Jan 3, 2014
    • Employees · 1 to 4
      Nov 20, 2013 to Jan 3, 2014
    • HQ city · ENGLEWOOD to LOS ANGELES
      Nov 20, 2013 to Jan 3, 2014
    • HQ state · NJ to CA
      Nov 20, 2013 to Jan 3, 2014
    • State-registered IARs · 0 to 3
      Nov 20, 2013 to Jan 3, 2014
    • Discretionary RAUM · unset to 0.0
      Nov 20, 2013 to Jan 3, 2014
    • Non-discretionary RAUM · unset to 0.0
      Nov 20, 2013 to Jan 3, 2014
    • RAUM · unset to 0.0
      Nov 20, 2013 to Jan 3, 2014
    Signals
    1 dated events
    • M• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Nov 20, 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.
    How to reach
    public business contact points only, each with its source
    Website
    M3-ASSET.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $36.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026