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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M••

Former SEC-registered adviserLa Jolla, CaliforniaCRD 169912SEC 801-78994IAPD
Legal name M•• 1•••• L••
Latest filing May 29, 2015
First filing on the tape Dec 18, 2013 · 14 filings
RAUM
$22.3M
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$22.3M as of May 29, 2015
Dec 18, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of May 29, 2015
Dec 18, 20131 then
Employees (5.A)9 as of May 29, 2015
Dec 18, 20135 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 29, 2015; every figure names its basis
RAUM per advisor
$5.6MderivedRAUM 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
$390,785derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 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, selection of other advisersreportedItem 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)
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
57reported
Financial planning clients
n/areported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• S••••• A••• · Chief Compliance Officercontrol
    since 01/2014 · owns less than 5%
  • M•••••• W••••••• M• · Chairman, Chief Operating Officercontrol
    since 10/2013 · owns less than 5%
  • M•••••• S••••••• S• · Co-Trusteecontrol
    since 12/2010 · owns 50% to 75% of M••••• F••••• T••••
  • M•••••• W••••••• M• · Co-Trusteecontrol
    since 12/2010 · owns 50% to 75% of M••••• F••••• T••••
  • N•••••• B••••• T• · Beneficiarycontrol
    since 11/2013 · owns 75% or more of T•••• I••••••••• T••••
Entity owners
  • M••••• F••••• T•••• · Managing Member
    direct · owns 75% or more
  • D••••• T•••• C•••••• · Trustee
    indirect · owns F of T•••• I••••••••• T••••
  • T•••• I••••••••• T•••• · Managing Member
    indirect · owns F of T••••••••• L••
  • T••••••••• L•• · Member
    direct · owns 5% to 10%
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
  • Advisory employees · 2 to 4
    Mar 13, 2015 to Mar 31, 2015
  • Financial planning clients · 0 to unset
    Mar 13, 2015 to Mar 31, 2015
  • Discretionary RAUM · $13.1M to $22.3M
    Mar 13, 2015 to Mar 31, 2015
  • RAUM · $13.1M to $22.3M
    Mar 13, 2015 to Mar 31, 2015
  • BD registered reps · 0 to 1
    Mar 11, 2015 to Mar 13, 2015
  • State-registered IARs · 2 to 4
    Jan 19, 2015 to Jan 30, 2015
  • Advisory activities · 4 to 3
    Jan 5, 2015 to Jan 19, 2015
  • Advisory activities · 5 to 4
    Nov 26, 2014 to Dec 23, 2014
  • Employees · 5 to 9
    Nov 26, 2014 to Dec 23, 2014
  • Accounts · 46 to 57
    May 9, 2014 to Nov 26, 2014
  • Discretionary RAUM · $19.1M to $13.1M
    May 9, 2014 to Nov 26, 2014
  • Non-discretionary RAUM · $85.3M to $0
    May 9, 2014 to Nov 26, 2014
  • RAUM · $104M to $13.1M
    May 9, 2014 to Nov 26, 2014
  • Accounts · 0 to 46
    Jan 31, 2014 to May 9, 2014
  • Business name · M•• 1•••• L•• to MWM
    Jan 31, 2014 to May 9, 2014
  • State-registered IARs · 1 to 2
    Jan 31, 2014 to May 9, 2014
  • Discretionary RAUM · $0 to $19.1M
    Jan 31, 2014 to May 9, 2014
  • Non-discretionary RAUM · $0 to $85.3M
    Jan 31, 2014 to May 9, 2014
  • RAUM · $0 to $104M
    Jan 31, 2014 to May 9, 2014
Signals
1 dated events
  • M•• 1•••• L•• filed its initial SEC registration (Form ADV)
    Dec 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