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•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 169631SEC 801-78850IAPD
Latest filing May 14, 2020
First filing on the tape Nov 18, 2013 · 11 filings
RAUM
$1.3B
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$1.5B gross assets
History
11 filings and snapshots on the tape
RAUM$1.3B as of May 14, 2020
Apr 24, 2014$57.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 14, 2020
Apr 24, 20140 then
Employees (5.A)8 as of May 14, 2020
Apr 24, 20143 then
Private funds4 as of May 14, 2020
Apr 24, 20141 then
RAUM -17% over the last fiscal year+67% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 14, 2020; 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
$439MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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 vehiclesreportedItem 5.G
Custody
$624M, 3 clientsreportedItem 9.A
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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$624M for 3 clientsreported
Compensation
% of AUM, 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••••• C•••••• P••••••• L•Hedge Fund$1.3B76Nov 18, 2013
      M•••••••• C•••••• O••••••• F••• L••Hedge Fund$134M41Mar 27, 2015
      M•••••••• R••• P•••••• F••• L•Hedge Fund$62.7M3Mar 28, 2018
      M•••••••• R••• P•••••• U•••• F••• L•Hedge Fund$45.8M5Mar 28, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J••••• · Managing Membercontrol
        since 09/2013 · owns 50% to 75%
      • K••••••••• M••••••• J••••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 11/2013 · owns less than 5%
      • W•••••• J••••• M•••• · Managing Membercontrol
        since 09/2013 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • M•••••••• C•••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Nov 4, 2019 to May 14, 2020
      • Advisory employees · 3 to 4
        Nov 4, 2019 to May 14, 2020
      • Pooled vehicle clients · 4 to 3
        Nov 4, 2019 to May 14, 2020
      • Assets in custody · $576M to $624M
        Nov 4, 2019 to May 14, 2020
      • Employees · 7 to 8
        Nov 4, 2019 to May 14, 2020
      • Discretionary RAUM · $1.6B to $1.3B
        Nov 4, 2019 to May 14, 2020
      • Pooled vehicle RAUM · $1.6B to $1.3B
        Nov 4, 2019 to May 14, 2020
      • RAUM · $1.6B to $1.3B
        Nov 4, 2019 to May 14, 2020
      • Assets in custody · $415M to $576M
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $854M to $1.6B
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $854M to $1.6B
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $854M to $1.6B
        Mar 28, 2018 to Mar 28, 2019
      • Accounts · 2 to 4
        Mar 21, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 21, 2017 to Mar 28, 2018
      • Assets in custody · unset to 414911696.0
        Mar 21, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Mar 21, 2017 to Mar 28, 2018
      • Employees · 6 to 7
        Mar 21, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 28, 2018
      • Private funds · 2 to 4
        Mar 21, 2017 to Mar 28, 2018
      • Discretionary RAUM · $283M to $854M
        Mar 21, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 853676931.0
        Mar 21, 2017 to Mar 28, 2018
      • RAUM · $283M to $854M
        Mar 21, 2017 to Mar 28, 2018
      • Employees · 4 to 6
        Oct 24, 2016 to Mar 21, 2017
      • Discretionary RAUM · $286M to $283M
        Oct 24, 2016 to Mar 21, 2017
      • RAUM · $286M to $283M
        Oct 24, 2016 to Mar 21, 2017
      • Advisory employees · 2 to 3
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 3 to 4
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $79.0M to $286M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $79.0M to $286M
        Mar 27, 2015 to Mar 30, 2016
      • Accounts · 1 to 2
        Apr 24, 2014 to Mar 27, 2015
      • Private funds · 1 to 2
        Apr 24, 2014 to Mar 27, 2015
      • Discretionary RAUM · $57.8M to $79.0M
        Apr 24, 2014 to Mar 27, 2015
      • RAUM · $57.8M to $79.0M
        Apr 24, 2014 to Mar 27, 2015
      • Accounts · unset to 1.0
        Nov 18, 2013 to Mar 26, 2014
      • Discretionary RAUM · unset to 57789000.0
        Nov 18, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · unset to 0.0
        Nov 18, 2013 to Mar 26, 2014
      • RAUM · unset to 57789000.0
        Nov 18, 2013 to Mar 26, 2014
      Signals
      3 dated events
      • M•••••••• C•••••• M••••••••• L•• reported RAUM $1.6B, up 86% from $853.7M (2018-03-28 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • M•••••••• C•••••• M••••••••• L•• reported RAUM $853.7M, up 202% from $282.6M (2017-03-21 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • M•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 18, 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