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•••••• I• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 4, 2013 · 26 filings
SEC status approved since Dec 16, 2013
RAUM
$1.7B
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
116
54 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.7B as of Mar 31, 2026
Mar 10, 2014$77.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 10, 20140 then
Employees (5.A)116 as of Mar 31, 2026
Mar 10, 201435 then
Private funds2 as of Mar 31, 2026
Mar 30, 20211 then
RAUM +10% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $578MderivedRAUM 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
- +10%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, portfolio management for investment companiesreportedItem 5.G
- Custody
- $352M, 2 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$352M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $352M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• P•••••• L••• F••• I• L• | Private Equity Fund | $203M | 126 | Jan 14, 2021 |
| M• P•••••• L••• F••• I•• L• | Private Equity Fund | $35.8M | 12 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••••• B••••• · Manager; Executive Vice President, General Counsel And Secretarycontrolsince 11/2024 · owns less than 5%
- H••••• D•••••• L•••• · Manager; Chief Executive Officer And Senior Managing Directorcontrolsince 11/2014 · owns less than 5%
- M•••••• J••••• E•••••• · Executive Vice President, Chief Operating Officer, Chief Financial Officer And Senior Managing Directorcontrolsince 07/2019 · owns less than 5%
- R•••••••• K••••••• L••• · Chief Compliance Officer And Deputy General Counselcontrolsince 11/2024 · owns less than 5%
Entity owners
- M••• S••••• C•••••• P•••••••• L•• · Sole Memberdirect · owns 75% or more
- M••• S••••• C•••••• C••••••••• · Sole Memberindirect · owns 75% or more of M••• S••••• C•••••• P•••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- M• P•••••• L••• F••• I• G•• L••pooled vehicle sponsory
- M• P•••••• L••• F••• I• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 29, 2025 to Mar 31, 2026
- Advisory employees · 53 to 54Mar 29, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Mar 29, 2025 to Mar 31, 2026
- Assets in custody · $292M to $352MMar 29, 2025 to Mar 31, 2026
- Employees · 109 to 116Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $1.7BMar 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $57.4M to $0Mar 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $292M to $352MMar 29, 2025 to Mar 31, 2026
- RAUM · $1.6B to $1.7BMar 29, 2025 to Mar 31, 2026
- Assets in custody · $239M to $292MJan 27, 2025 to Mar 29, 2025
- Employees · 100 to 109Jan 27, 2025 to Mar 29, 2025
- Financial planning clients · unset to Jan 27, 2025 to Mar 29, 2025
- Discretionary RAUM · $1.5B to $1.5BJan 27, 2025 to Mar 29, 2025
- Non-discretionary RAUM · $98.4M to $57.4MJan 27, 2025 to Mar 29, 2025
- Pooled vehicle RAUM · $311M to $292MJan 27, 2025 to Mar 29, 2025
- RAUM · $1.5B to $1.6BJan 27, 2025 to Mar 29, 2025
- Accounts · 3 to 4Mar 27, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 2Mar 27, 2023 to Mar 28, 2024
- Assets in custody · $175M to $239MMar 27, 2023 to Mar 28, 2024
- Employees · 91 to 100Mar 27, 2023 to Mar 28, 2024
- Private funds · 1 to 2Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.5BMar 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $113M to $98.4MMar 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $180M to $311MMar 27, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.5BMar 27, 2023 to Mar 28, 2024
- Advisory employees · 46 to 53Mar 31, 2022 to Mar 27, 2023
- Assets in custody · $146M to $175MMar 31, 2022 to Mar 27, 2023
- Employees · 80 to 91Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.3B to $1.3BMar 31, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $103M to $113MMar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $146M to $180MMar 31, 2022 to Mar 27, 2023
- RAUM · $1.4B to $1.4BMar 31, 2022 to Mar 27, 2023
- Advisory employees · 44 to 46Sep 3, 2021 to Mar 31, 2022
- Advisory activities · 2 to 3Sep 3, 2021 to Mar 31, 2022
- Assets in custody · $23.6M to $146MSep 3, 2021 to Mar 31, 2022
- Employees · 76 to 80Sep 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $920M to $1.3BSep 3, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $25.0M to $103MSep 3, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $23.6M to $146MSep 3, 2021 to Mar 31, 2022
- RAUM · $945M to $1.4BSep 3, 2021 to Mar 31, 2022
Signals
6 dated events
- L••• K•••••• R••••••• (Chief Compliance Officer And Deputy General Counsel) appeared on Schedule A of M•• A•••••• I• L••Nov 8, 2024 · Control person joined · fact
- Davis Vincent Foster (Manager; Executive Chairman) no longer on Schedule A of M•• A•••••• I• L•• (listed 2021-09-03, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- M•• A•••••• I• L•• reported RAUM $1.4B, up 47% from $944.9M (2021-09-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Dwayne Brent Smith (Chief Financial Officer And Treasurer) no longer on Schedule A of M•• A•••••• I• L•• (listed 2021-05-25, absent 2021-09-03)Sep 3, 2021 · Control person left · inference
- Enrique Jesse Morris (Executive Vice President And Chief Operating Officer) appeared on Schedule A of M•• A•••••• I• L••Feb 11, 2020 · Control person joined · fact
- M•• A•••••• I• L•• filed its initial SEC registration (Form ADV)Dec 4, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•• A•••••• I• L•• · Independent Sponsorsshared crd · capital_provider
- M•• A•••••• I• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-350-6000reportedpublic record, Form ADV, Mar 31, 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