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•••••• M••••••••• L•
Latest filing May 11, 2022
First filing on the tape Nov 6, 2014 · 17 filings
RAUM
$22B
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
43
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
3
$19B gross assets
History
17 filings and snapshots on the tape
RAUM$22B as of Mar 14, 2022
Mar 27, 2015$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2022
Mar 27, 20150 then
Employees (5.A)43 as of Mar 14, 2022
Mar 27, 201515 then
Private funds2 as of Mar 14, 2022
Mar 27, 20152 then
RAUM -11% over the last fiscal year+41% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of May 11, 2022; 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
- $4.4BderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $19B, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- Pooled investment vehicles$19B87%
- Corporations and businesses$2.9B13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $19B for 4 clientsreported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• C•••••• M••••• F••• L•• | Hedge Fund | $18B | 600 | Mar 27, 2015 |
| M••••• C•••••• I• L•• | Hedge Fund | $2.7B | 92 | Mar 23, 2017 |
| M••••• C•••••• O•••••• L• | Hedge Fund | $979M | 99 | Mar 27, 2015 |
| M••••• C•••••• L••• O••• M••••• F••• L•• | Hedge Fund | $283M | 5 | May 11, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• A•••••• · Chief Financial Officercontrolsince 11/2014 · owns less than 5%
- K•••• D••••• F••••• · Chief Operating Officercontrolsince 11/2014 · owns less than 5%
- P••••••• G••••••• S•••••• · Chief Investment Officercontrolsince 11/2014 · owns less than 5%
- R••••••• R••••• · Head Of Legal And Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
- P••••••• G••••••• S•••••• · Managing Membercontrolsince 10/2014 · owns 75% or more of B••••••••• P••• L••
Entity owners
- B••••••••• P••• L•• · Limited Partnerdirect · owns 75% or more
- M••••• C•••••• L•• · General Partnerdirect · owns less than 5%
- B••••••••• P••• L•• · Memberindirect · owns 75% or more of M••••• C•••••• L••
Related persons
Schedule D 7.A
- M••••• C•••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Berkeley, CA2 employees
- Kansas City, MO1 employees
- Miami Beach, FL
What changed
consecutive filings, newest first
- Private funds · 2 to 3Mar 14, 2022 to May 11, 2022
- Accounts · 8 to 5Oct 26, 2021 to Mar 14, 2022
- Advisory employees · 28 to 30Oct 26, 2021 to Mar 14, 2022
- Pooled vehicle clients · 7 to 4Oct 26, 2021 to Mar 14, 2022
- Assets in custody · $21B to $19BOct 26, 2021 to Mar 14, 2022
- Employees · 37 to 43Oct 26, 2021 to Mar 14, 2022
- Other offices · 2 to 3Oct 26, 2021 to Mar 14, 2022
- Private funds · 3 to 2Oct 26, 2021 to Mar 14, 2022
- Discretionary RAUM · $25B to $22BOct 26, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $21B to $19BOct 26, 2021 to Mar 14, 2022
- RAUM · $25B to $22BOct 26, 2021 to Mar 14, 2022
- Advisory employees · 25 to 28Feb 1, 2021 to Mar 8, 2021
- Assets in custody · $10B to $21BFeb 1, 2021 to Mar 8, 2021
- Employees · 32 to 37Feb 1, 2021 to Mar 8, 2021
- Discretionary RAUM · $13B to $25BFeb 1, 2021 to Mar 8, 2021
- Pooled vehicle RAUM · $10B to $21BFeb 1, 2021 to Mar 8, 2021
- RAUM · $13B to $25BFeb 1, 2021 to Mar 8, 2021
- Advisory employees · 20 to 25May 17, 2019 to Mar 18, 2020
- Assets in custody · $6.0B to $10BMay 17, 2019 to Mar 18, 2020
- Employees · 25 to 32May 17, 2019 to Mar 18, 2020
- Discretionary RAUM · $7.7B to $13BMay 17, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $6.0B to $10BMay 17, 2019 to Mar 18, 2020
- RAUM · $7.7B to $13BMay 17, 2019 to Mar 18, 2020
- Assets in custody · $6.3B to $6.0BMar 21, 2018 to Mar 15, 2019
- Discretionary RAUM · $8.1B to $7.7BMar 21, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $6.3B to $6.0BMar 21, 2018 to Mar 15, 2019
- RAUM · $8.1B to $7.7BMar 21, 2018 to Mar 15, 2019
- Accounts · 5 to 8Mar 23, 2017 to Mar 15, 2018
- Advisory employees · 16 to 20Mar 23, 2017 to Mar 15, 2018
- Pooled vehicle clients · unset to 7.0Mar 23, 2017 to Mar 15, 2018
- Assets in custody · $3.5B to $6.3BMar 23, 2017 to Mar 15, 2018
- Employees · 21 to 25Mar 23, 2017 to Mar 15, 2018
- Other offices · unset to 2.0Mar 23, 2017 to Mar 15, 2018
- Discretionary RAUM · $3.5B to $8.1BMar 23, 2017 to Mar 15, 2018
- Pooled vehicle RAUM · unset to 6298123777.0Mar 23, 2017 to Mar 15, 2018
- RAUM · $3.5B to $8.1BMar 23, 2017 to Mar 15, 2018
- Advisory employees · 14 to 16Aug 31, 2016 to Mar 23, 2017
- Assets in custody · $0 to $3.5BAug 31, 2016 to Mar 23, 2017
- Employees · 19 to 21Aug 31, 2016 to Mar 23, 2017
- Private funds · 2 to 3Aug 31, 2016 to Mar 23, 2017
Signals
6 dated events
- M••••• C•••••• M••••••••• L• reported RAUM $24.5B, up 87% from $13.1B (2021-02-01 to 2021-03-08)Mar 8, 2021 · RAUM change · derived
- Michael Evan Cohen (Chief Compliance Officer) no longer on Schedule A of M••••• C•••••• M••••••••• L• (listed 2020-03-18, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
- R••••• R•••••• (Head Of Legal And Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• M••••••••• L•Feb 1, 2021 · Control person joined · fact
- M••••• C•••••• M••••••••• L• reported RAUM $13.1B, up 70% from $7.7B (2019-05-17 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- M••••• C•••••• M••••••••• L• reported RAUM $8.1B, up 130% from $3.5B (2017-03-23 to 2018-03-15)Mar 15, 2018 · RAUM change · derived
- M••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 6, 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