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•••••
Legal name M••••••••• A••••• L••••••
Latest filing Oct 24, 2024
First filing on the tape Apr 16, 2015 · 43 filings
SEC status approved since May 11, 2015
RAUM
$6.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.0%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
63
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$6.1B as of Aug 29, 2024
Sep 21, 2015$8.6B then
HNW client RAUM$120M as of Aug 29, 2024
Sep 28, 2021$103M then
State-registered IARs (5.B.3)0 as of Aug 29, 2024
Sep 21, 20150 then
Employees (5.A)63 as of Aug 29, 2024
Sep 21, 201550 then
Private funds: no history
RAUM -0.2% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 24, 2024; 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
- $60.2MderivedHNW RAUM over HNW clients
- Average account
- $185MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 32%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
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.8B63%
- Pension and profit-sharing plans$1.3B21%
- Sovereign wealth funds$424M6.9%
- State and municipal entities$255M4.2%
- Corporations and businesses$163M2.7%
- High-net-worth individuals$120M2.0%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 33reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M•••••• · Chief Executive Officercontrolsince 02/2024 · owns less than 5%
- C••• W•••• · Chief Financial Officersince 10/2020 · owns less than 5%
- F••••••• A•••••• J••• · Director, Chief Compliance Officersince 08/2024 · owns less than 5%
- I••••••••• A••••• · Chief Legal Officersince 02/2023 · owns less than 5%
- L•••••• D•••••• J••• D•••• · Directorsince 08/2024 · owns less than 5%
- R••••••• G••••• M•••••• · Chief Investment Officersince 07/2009 · owns less than 5%
- Z••••• A••• · Directorsince 08/2024 · owns less than 5%
Entity owners
- A•••••••• P••••••• H••••••• P•• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••••••• A••••• G••••• L••••• I••••••••• P•• L••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 34 to 33Jun 5, 2024 to Aug 29, 2024
- Advisory employees · 30 to 31Jun 5, 2024 to Aug 29, 2024
- Corporate clients · 8 to 9Jun 5, 2024 to Aug 29, 2024
- Pooled vehicle clients · 20 to 17Jun 5, 2024 to Aug 29, 2024
- Employees · 61 to 63Jun 5, 2024 to Aug 29, 2024
- Discretionary RAUM · $6.1B to $6.1BJun 5, 2024 to Aug 29, 2024
- HNW RAUM · $108M to $120MJun 5, 2024 to Aug 29, 2024
- Pension RAUM · $1.1B to $1.3BJun 5, 2024 to Aug 29, 2024
- Pooled vehicle RAUM · $4.1B to $3.8BJun 5, 2024 to Aug 29, 2024
- RAUM · $6.1B to $6.1BJun 5, 2024 to Aug 29, 2024
- Accounts · 33 to 34Feb 15, 2024 to Jun 5, 2024
- Pooled vehicle clients · 19 to 20Feb 15, 2024 to Jun 5, 2024
- Discretionary RAUM · $6.1B to $6.1BFeb 15, 2024 to Jun 5, 2024
- Pooled vehicle RAUM · $4.1B to $4.1BFeb 15, 2024 to Jun 5, 2024
- RAUM · $6.1B to $6.1BFeb 15, 2024 to Jun 5, 2024
- Accounts · 36 to 33Aug 15, 2023 to Sep 27, 2023
- Advisory employees · 31 to 30Aug 15, 2023 to Sep 27, 2023
- Pension plan clients · 3 to 2Aug 15, 2023 to Sep 27, 2023
- Pooled vehicle clients · 22 to 19Aug 15, 2023 to Sep 27, 2023
- Discretionary RAUM · $5.9B to $6.1BAug 15, 2023 to Sep 27, 2023
- HNW RAUM · $99.4M to $108MAug 15, 2023 to Sep 27, 2023
- Pension RAUM · $1.2B to $1.1BAug 15, 2023 to Sep 27, 2023
- Pooled vehicle RAUM · $4.2B to $4.1BAug 15, 2023 to Sep 27, 2023
- RAUM · $5.9B to $6.1BAug 15, 2023 to Sep 27, 2023
- Accounts · 41 to 36Sep 6, 2022 to Sep 28, 2022
- Advisory employees · 26 to 31Sep 6, 2022 to Sep 28, 2022
- Advisory activities · 5 to 4Sep 6, 2022 to Sep 28, 2022
- Pension plan clients · 5 to 3Sep 6, 2022 to Sep 28, 2022
- Employees · 57 to 61Sep 6, 2022 to Sep 28, 2022
- Discretionary RAUM · $8.7B to $5.9BSep 6, 2022 to Sep 28, 2022
- HNW RAUM · $103M to $99.4MSep 6, 2022 to Sep 28, 2022
- Pension RAUM · $1.6B to $1.2BSep 6, 2022 to Sep 28, 2022
- Pooled vehicle RAUM · $5.6B to $4.2BSep 6, 2022 to Sep 28, 2022
- RAUM · $8.7B to $5.9BSep 6, 2022 to Sep 28, 2022
- HQ city · SYDNEY to BARANGAROOMay 11, 2022 to Sep 6, 2022
- Accounts · 49 to 41Jul 8, 2021 to Sep 28, 2021
- Advisory employees · 28 to 26Jul 8, 2021 to Sep 28, 2021
- Corporate clients · 9 to 8Jul 8, 2021 to Sep 28, 2021
- HNW clients · 0 to 2Jul 8, 2021 to Sep 28, 2021
- Pension plan clients · 7 to 5Jul 8, 2021 to Sep 28, 2021
Signals
17 dated events
- M••••••••• A••••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $6.1B)Sep 2, 2025 · Left the SEC roster · derived
- Craig S•••• Maple-Brown (Shareholder) no longer on Schedule A of M••••••••• A••••• (listed 2024-06-05, absent 2024-08-29)Aug 29, 2024 · Control person left · inference
- Murray Christopher Abbott (Shareholder) no longer on Schedule A of M••••••••• A••••• (listed 2024-06-05, absent 2024-08-29)Aug 29, 2024 · Control person left · inference
- Ann Barbara Abbott (Shareholder B And D Class) no longer on Schedule A of M••••••••• A••••• (listed 2024-06-05, absent 2024-08-29)Aug 29, 2024 · Control person left · inference
- Andrew Maple-Brown (Director) no longer on Schedule A of M••••••••• A••••• (listed 2024-06-05, absent 2024-08-29)Aug 29, 2024 · Control person left · inference
- Sally Sophia Rahmani (Chief Executive Officer And Managing Director) no longer on Schedule A of M••••••••• A••••• (listed 2024-01-10, absent 2024-02-15)Feb 15, 2024 · Control person left · inference
- M••••••••• A••••• reported RAUM $5.9B, down 32% from $8.7B (2022-09-06 to 2022-09-28)Sep 28, 2022 · RAUM change · derived
- Andrew Maple-Brown (Director) appeared on Schedule A of M••••••••• A•••••May 11, 2022 · Control person joined · fact
- Ross Geoffrey Bazzan (Director) no longer on Schedule A of M••••••••• A••••• (listed 2021-09-28, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- S•••• R•••••• (Director) no longer on Schedule A of M••••••••• A••••• (listed 2021-09-28, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- Wendy Cox (Chief Financial Officer) appeared on Schedule A of M••••••••• A•••••Oct 28, 2020 · Control person joined · fact
- Melanie Mcquire (Chief Operating Officer) appeared on Schedule A of M••••••••• A•••••Oct 28, 2020 · Control person joined · fact
- Alan Richard Grundy (Chief Operating Officer And Chief Financial Officer) no longer on Schedule A of M••••••••• A••••• (listed 2020-09-23, absent 2020-10-28)Oct 28, 2020 · Control person left · inference
- Sally Sophia Rahmani (Chief Executive Officer And Managing Director) appeared on Schedule A of M••••••••• A•••••Nov 13, 2019 · Control person joined · fact
- Keith John Kightley (Shareholder) no longer on Schedule A of M••••••••• A••••• (listed 2018-10-24, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
- S•••• R•••••• (Director) appeared on Schedule A of M••••••••• A•••••Apr 10, 2019 · Control person joined · fact
- M••••••••• A••••• filed its initial SEC registration (Form ADV)Apr 16, 2015 · 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