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•••••• G•••• L••
Latest filing Jul 16, 2025
First filing on the tape Oct 16, 2014 · 25 filings
SEC status approved since Nov 3, 2014
RAUM
$42.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$42.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$42.5M as of Jul 16, 2025
Mar 10, 2015$43.6M then
HNW client RAUM$39.2M as of Jul 16, 2025
Mar 19, 2018$44.2M then
State-registered IARs (5.B.3)2 as of Jul 16, 2025
Mar 10, 20151 then
Employees (5.A)2 as of Jul 16, 2025
Mar 10, 20151 then
Private funds: no history
RAUM +41% over the last fiscal year+7.8% a year over threeIARs 1 to 2offices 0 to 2
Practice profile
derived from the filing of Jul 16, 2025; every figure names its basis
- RAUM per advisor
- $21.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $816,790derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$39.2M92%
- Individuals$3.3M7.7%
- Individual clients
- 15reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 52reported
- Financial planning clients
- reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- D••••• J••• M•••••• to F••••••Mar 9, 2026 · RIA to RIA
- J••••• C•••• M••••••• to F••••••Mar 9, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• D••••• · Ceo And Ccocontrolsince 10/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co | 0 | 0 | 1 | ||
| New York, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 27, 2025 to Jul 16, 2025
- Employees · 1 to 2Mar 27, 2025 to Jul 16, 2025
- Financial planning clients · unset to Mar 27, 2025 to Jul 16, 2025
- State-registered IARs · 1 to 2Mar 27, 2025 to Jul 16, 2025
- Other offices · 1 to 2Mar 27, 2025 to Jul 16, 2025
- Accounts · 45 to 52Jan 21, 2025 to Mar 27, 2025
- HNW clients · 15 to 16Jan 21, 2025 to Mar 27, 2025
- Discretionary RAUM · $30.1M to $42.5MJan 21, 2025 to Mar 27, 2025
- HNW RAUM · $27.5M to $39.2MJan 21, 2025 to Mar 27, 2025
- Individual RAUM · $2.7M to $3.3MJan 21, 2025 to Mar 27, 2025
- RAUM · $30.1M to $42.5MJan 21, 2025 to Mar 27, 2025
- HQ city · unset to Aug 16, 2024 to Jan 21, 2025
- HQ state · unset to Aug 16, 2024 to Jan 21, 2025
- Other offices · 0 to 1Jul 26, 2024 to Aug 16, 2024
- HQ city · NEW YORK to unsetJul 25, 2024 to Jul 26, 2024
- HQ state · NY to unsetJul 25, 2024 to Jul 26, 2024
- Accounts · 44 to 45Aug 1, 2023 to Mar 15, 2024
- HNW clients · 28 to 15Aug 1, 2023 to Mar 15, 2024
- Individual clients · 16 to 15Aug 1, 2023 to Mar 15, 2024
- Discretionary RAUM · $30.4M to $30.1MAug 1, 2023 to Mar 15, 2024
- HNW RAUM · $28.3M to $27.5MAug 1, 2023 to Mar 15, 2024
- Individual RAUM · $2.2M to $2.7MAug 1, 2023 to Mar 15, 2024
- RAUM · $30.4M to $30.1MAug 1, 2023 to Mar 15, 2024
- Accounts · 41 to 44Mar 25, 2022 to Mar 28, 2023
- HNW clients · 13 to 28Mar 25, 2022 to Mar 28, 2023
- Individual clients · 13 to 16Mar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $33.9M to $30.4MMar 25, 2022 to Mar 28, 2023
- HNW RAUM · $31.5M to $28.3MMar 25, 2022 to Mar 28, 2023
- Individual RAUM · $2.5M to $2.2MMar 25, 2022 to Mar 28, 2023
- RAUM · $33.9M to $30.4MMar 25, 2022 to Mar 28, 2023
- Accounts · 38 to 41Mar 25, 2021 to Mar 25, 2022
- HNW clients · 10 to 13Mar 25, 2021 to Mar 25, 2022
- Individual clients · 11 to 13Mar 25, 2021 to Mar 25, 2022
- Discretionary RAUM · $31.5M to $33.9MMar 25, 2021 to Mar 25, 2022
- HNW RAUM · $27.9M to $31.5MMar 25, 2021 to Mar 25, 2022
- Individual RAUM · $3.6M to $2.5MMar 25, 2021 to Mar 25, 2022
- RAUM · $31.5M to $33.9MMar 25, 2021 to Mar 25, 2022
- HNW clients · 9 to 10Jun 29, 2020 to Mar 25, 2021
- Discretionary RAUM · $30.5M to $31.5MJun 29, 2020 to Mar 25, 2021
- HNW RAUM · $26.9M to $27.9MJun 29, 2020 to Mar 25, 2021
Signals
4 dated events
- M••••• C•••••• G•••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $42.5M)Apr 1, 2026 · Left the SEC roster · derived
- D••••• J••• M•••••• left M••••• C•••••• G•••• L•• for Farther (registered 2026-01-28)Mar 9, 2026 · Advisor changed firm · fact
- J••••• C•••• M••••••• left M••••• C•••••• G•••• L•• for Farther (registered 2026-03-05)Mar 9, 2026 · Advisor changed firm · fact
- M••••• C•••••• G•••• L•• filed its initial SEC registration (Form ADV)Oct 16, 2014 · 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