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••••••••• P••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Nov 4, 2014 · 15 filings
SEC status approved since Nov 14, 2014
RAUM
$387M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$387M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$387M as of Mar 16, 2026
Mar 24, 2015$174M then
HNW client RAUM$387M as of Mar 16, 2026
Mar 28, 2019$216M then
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 24, 20150 then
Employees (5.A)6 as of Mar 16, 2026
Mar 24, 201510 then
Private funds1 as of Mar 18, 2024
Mar 24, 20156 then
RAUM +55% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $96.7MderivedHNW RAUM over HNW clients
- Average account
- $96.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%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
- +55%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $388M, 4 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$387M100%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $388M for 4 clientsreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••••• C•••••• P••••••• F••• I• L•no longer reported | Venture Capital Fund | $15.3M | 84 | Mar 26, 2012 |
| M••••••••• A•••••••• C••••••• F•••• L• | Venture Capital Fund | $8.8M | 13 | Mar 17, 2014 |
| M••••••••• D••••• F•••• L•no longer reported | Venture Capital Fund | $274,000 | 3 | Mar 20, 2018 |
| M••••••••• O•••••• F••• L• | Venture Capital Fund | $138,000 | 15 | Mar 24, 2015 |
| M••••••••• R• C•••••••• C••••••• F••• I••• L•no longer reported | Venture Capital Fund | $8,000 | 11 | Mar 26, 2012 |
| M••••••••• R• C•••••••• C••••••• F•••• L•no longer reported | Venture Capital Fund | $5,000 | 8 | Mar 26, 2012 |
| M••••••••• R• C•••••••• C••••••• F••• I•• L•no longer reported | Venture Capital Fund | $5,000 | 9 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••• J•••• · Managing Membercontrolsince 07/2016 · owns 75% or more
- F•••• J••••• M•••••• · Membersince 03/2014 · owns 10% to 25%
- N•••• L••••••• V•••••• · Chief Compliance Officersince 03/2014 · owns less than 5%
Related persons
Schedule D 7.A
- M••••••••• O•••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 16, 2026discretionary share of RAUM moved from 100.0% to 70.0% between the annual amendments of 2025-03-19 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $249,972,000 to $386,917,000 (+55.0%) between the annual amendments of 2025-03-19 and 2026-03-16; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 4Mar 19, 2025 to Mar 16, 2026
- HNW clients · 3 to 4Mar 19, 2025 to Mar 16, 2026
- Assets in custody · $250M to $388MMar 19, 2025 to Mar 16, 2026
- Discretionary RAUM · $250M to $270MMar 19, 2025 to Mar 16, 2026
- HNW RAUM · $250M to $387MMar 19, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $117MMar 19, 2025 to Mar 16, 2026
- RAUM · $250M to $387MMar 19, 2025 to Mar 16, 2026
- Accounts · 5 to 3Mar 18, 2024 to Mar 19, 2025
- Advisory activities · 2 to 1Mar 18, 2024 to Mar 19, 2025
- HNW clients · 4 to 3Mar 18, 2024 to Mar 19, 2025
- Pooled vehicle clients · 1.0 to unsetMar 18, 2024 to Mar 19, 2025
- Assets in custody · $239M to $250MMar 18, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 19, 2025
- HQ city · unset to Mar 18, 2024 to Mar 19, 2025
- HQ state · unset to Mar 18, 2024 to Mar 19, 2025
- Private funds · 1 to unsetMar 18, 2024 to Mar 19, 2025
- Discretionary RAUM · $239M to $250MMar 18, 2024 to Mar 19, 2025
- HNW RAUM · $265M to $250MMar 18, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $25.4M to $0Mar 18, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · 138000.0 to unsetMar 18, 2024 to Mar 19, 2025
- RAUM · $265M to $250MMar 18, 2024 to Mar 19, 2025
- Accounts · 6 to 5Mar 24, 2023 to Mar 18, 2024
- Pooled vehicle clients · 2 to 1Mar 24, 2023 to Mar 18, 2024
- Assets in custody · $229M to $239MMar 24, 2023 to Mar 18, 2024
- Private funds · 2 to 1Mar 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $238M to $239MMar 24, 2023 to Mar 18, 2024
- HNW RAUM · $253M to $265MMar 24, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $24.5M to $25.4MMar 24, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $8.9M to $138,000Mar 24, 2023 to Mar 18, 2024
- RAUM · $262M to $265MMar 24, 2023 to Mar 18, 2024
- Accounts · 7 to 6Mar 25, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Mar 25, 2022 to Mar 24, 2023
- Pooled vehicle clients · 3 to 2Mar 25, 2022 to Mar 24, 2023
- Assets in custody · $282M to $229MMar 25, 2022 to Mar 24, 2023
- HQ city · WESTPORT to unsetMar 25, 2022 to Mar 24, 2023
- HQ state · CT to unsetMar 25, 2022 to Mar 24, 2023
- Other offices · 1 to 0Mar 25, 2022 to Mar 24, 2023
- Private funds · 3 to 2Mar 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $297M to $238MMar 25, 2022 to Mar 24, 2023
- HNW RAUM · $282M to $253MMar 25, 2022 to Mar 24, 2023
Signals
3 dated events
- M••••••••• P••••••• L•• reported RAUM $386.9M, up 55% from $250.0M (2025-03-19 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- M••••••••• P••••••• L•• reported RAUM $308.9M, up 235% from $92.2M (2018-03-20 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- M••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Nov 4, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••••••••• P••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@m•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-286-0400reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.m•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-286-0400reportedpublic record, Form ADV, Mar 16, 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
- Independent wealth managerderiveda 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