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
A•••• C••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Jun 16, 2015 · 35 filings
SEC status approved since Jun 29, 2015
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$0 as of Aug 11, 2026
Feb 24, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 11, 2026
Feb 24, 20160 then
Employees (5.A)5 as of Aug 11, 2026
Feb 24, 20162 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• L•••••••• V••• · Ceocontrolsince 11/2021 · owns less than 5%
- T••••• C••••••••• W••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- I••••••••• C•••••• N••••••• I•• · Ownerdirect · owns 75% or more
- I••••••• I•• · Activeindirect · owns 75% or more of I••••••••• C•••••• N••••••• I••
Related persons
Schedule D 7.A
- UBS Fund A••••••, L.L.C.investment adviserbanknRAUM $7.0B
- A•••••••• S••••••••• L•••••pooled vehicle sponsorn
- G•••••••• A••••• S•••••••• O••• G• L••pooled vehicle sponsorn
- I••••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $150B
- I••••••• A• G• L••bankpooled vehicle sponsorn
- I••••••• A• M•••••• L••bankpooled vehicle sponsorn
- I••••••• A••••••••• I••••••••• L••pooled vehicle sponsorn
- I••••••• A•••••••• A•• I•••••••• S••••••• L••real estaten
- I••••••• D••••• G• L••pooled vehicle sponsorn
- I••••••• H• G•• L••bankpooled vehicle sponsorn
- I••••••• H••• K••• L•••investment advisern
- I••••••• I• G• L••pooled vehicle sponsorn
- I••••••• L••••••••• S••••••••• G••••••pooled vehicle sponsorn
- I••••••• M•••••• L••broker-dealern
- I••••••• M•• F••• G•• L••pooled vehicle sponsorn
- I••••••• N•••••• C••••• G• L••pooled vehicle sponsorn
- I••••••• N•••••• C••••• L•••broker-dealern
- I••••••• N•••••• T••••••••• S••••••••• L••pooled vehicle sponsorn
- I••••••• P• G•• L••bankpooled vehicle sponsorn
- I••••••• P•••••• E••••• O••••••• L•••pooled vehicle sponsorn
- I••••••• R••••••••• F••• A•••••• L••investment adviserbanknRAUM $1.2B
- I••••••• S• P•• L•••investment advisern
- I••••••• S••••••••• I• L••pooled vehicle sponsorn
- I••••••• S••••••••• L••bankpooled vehicle sponsorn
- I••••••• S••••••••• M•••••• L••pooled vehicle sponsorn
- I••••••••• I• G•• L••pooled vehicle sponsorn
- I•• O•• M•••• L••pooled vehicle sponsorn
- I••••••• M•••• L••pooled vehicle sponsorn
- I••••••••• C• ••••••• • E•••••• D• I••••••••• S• A•investment advisern
- O•••••• D••••• S••••••••• L••investment advisern
Advisers that list A•••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Apr 13, 2026employees (Item 5.A) moved from 35.0 to 5.0 (-86.0%) between the annual amendments of 2025-03-18 and 2026-04-13; the peer median change was 0.0% (103 comparable advisers, 2.0th percentile of changes)peers: other advisers, under $100M (103) · 2.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 18, 2025 to Mar 27, 2026
- BD registered reps · 13 to 5Mar 18, 2025 to Mar 27, 2026
- Employees · 35 to 5Mar 18, 2025 to Mar 27, 2026
- State-registered IARs · 0 to 2Mar 18, 2025 to Mar 27, 2026
- Accounts · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- Advisory employees · 3 to 4Mar 22, 2024 to Mar 18, 2025
- BD registered reps · 2 to 13Mar 22, 2024 to Mar 18, 2025
- Employees · 3 to 35Mar 22, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 18, 2025
- State-registered IARs · 1 to 0Mar 22, 2024 to Mar 18, 2025
- Discretionary RAUM · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- Non-discretionary RAUM · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- RAUM · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- Related adviser · false to trueFeb 25, 2022 to Oct 19, 2022
- Related bank · false to trueFeb 25, 2022 to Oct 19, 2022
- Related broker-dealer · false to trueFeb 25, 2022 to Oct 19, 2022
- Advisory employees · 4 to 3May 31, 2021 to Nov 29, 2021
- BD registered reps · 4 to 2May 31, 2021 to Nov 29, 2021
- Employees · 4 to 3May 31, 2021 to Nov 29, 2021
- HQ city · DARIEN to NEW YORKApr 12, 2021 to May 31, 2021
- HQ state · CT to NYApr 12, 2021 to May 31, 2021
- Advisory employees · 6 to 4Oct 5, 2020 to Mar 1, 2021
- BD registered reps · 6 to 4Oct 5, 2020 to Mar 1, 2021
- Employees · 6 to 4Oct 5, 2020 to Mar 1, 2021
- BD registered reps · 5 to 6Oct 31, 2019 to Feb 13, 2020
- Advisory employees · 4 to 6Sep 27, 2018 to Mar 19, 2019
- BD registered reps · 3 to 5Sep 27, 2018 to Mar 19, 2019
- Employees · 4 to 6Sep 27, 2018 to Mar 19, 2019
- Advisory employees · 5 to 4May 17, 2018 to Jun 14, 2018
- BD registered reps · 5 to 3May 17, 2018 to Jun 14, 2018
- Employees · 6 to 4May 17, 2018 to Jun 14, 2018
- State-registered IARs · 0 to 1May 17, 2018 to Jun 14, 2018
- Advisory employees · 2 to 5Mar 27, 2017 to Mar 27, 2018
- Advisory activities · 3 to 2Mar 27, 2017 to Mar 27, 2018
- BD registered reps · 4 to 5Mar 27, 2017 to Mar 27, 2018
- Commission compensation · true to falseMar 27, 2017 to Mar 27, 2018
- Employees · 5 to 6Mar 27, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 27, 2018
- Accounts · 0.0 to unsetFeb 24, 2016 to Mar 27, 2017
- BD registered reps · 2 to 4Feb 24, 2016 to Mar 27, 2017
Signals
12 dated events
- Diogenes Nicholas Parcharidis (Cco) no longer on Schedule A of A•••• C••••••• L•• (listed 2023-03-16, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- S••• Ian S••••••••• (Managing Director) no longer on Schedule A of A•••• C••••••• L•• (listed 2022-02-25, absent 2022-10-19)Oct 19, 2022 · Control person left · inference
- Lance Marc Paley (Chief Executive Officer) no longer on Schedule A of A•••• C••••••• L•• (listed 2021-05-31, absent 2021-11-29)Nov 29, 2021 · Control person left · inference
- Vito Lawrence Calcano (Ceo) appeared on Schedule A of A•••• C••••••• L••Nov 29, 2021 · Control person joined · fact
- S••• Ian S••••••••• (Managing Director) appeared on Schedule A of A•••• C••••••• L••Nov 29, 2021 · Control person joined · fact
- Lance Marc Paley (Chief Executive Officer) appeared on Schedule A of A•••• C••••••• L••Apr 12, 2021 · Control person joined · fact
- Enrique Oscar Loynaz (Ceo) no longer on Schedule A of A•••• C••••••• L•• (listed 2021-03-01, absent 2021-04-12)Apr 12, 2021 · Control person left · inference
- Scott Bradley Berggren (Cco) no longer on Schedule A of A•••• C••••••• L•• (listed 2020-02-13, absent 2020-10-05)Oct 5, 2020 · Control person left · inference
- Diogenes Nicholas Parcharidis (Cco) appeared on Schedule A of A•••• C••••••• L••Oct 5, 2020 · Control person joined · fact
- Henry Stephen Houston (Cco) no longer on Schedule A of A•••• C••••••• L•• (listed 2018-09-27, absent 2019-03-19)Mar 19, 2019 · Control person left · inference
- Scott Bradley Berggren (Cco) appeared on Schedule A of A•••• C••••••• L••Mar 19, 2019 · Control person joined · fact
- A•••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/mplusfundsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/alaia-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mplusfunds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-994-7400reportedpublic record, Form ADV, Aug 11, 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
- No RAUM reportedderiveda 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