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••••• R•••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 281538SEC 801-110243IAPD
Latest filing Sep 8, 2020
First filing on the tape Oct 5, 2015 · 10 filings
RAUM
$1.2B
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
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.2B gross assets
History
10 filings and snapshots on the tape
RAUM$1.2B as of Mar 27, 2020
Mar 27, 2018$661M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 27, 20180 then
Employees (5.A)14 as of Mar 27, 2020
Mar 27, 201810 then
Private funds3 as of Mar 27, 2020
Mar 27, 20183 then
RAUM +24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 8, 2020; 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
$250MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$1.2B100%
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
$0 for 0 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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•• O••••••••• F••• I• L•Private Equity Fund$41.5M21Mar 27, 2020
      M••••• R•••• M••••• F••• L•Hedge Fund$28.3M95Feb 25, 2016
      M•• O••••••••• F••• I• L•Private Equity Fund$20.7M7Mar 21, 2017
      M••••• R•••• S•••••• S••••••••• F••• L•no longer reportedPrivate Equity Fund$1.3M13Oct 5, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• D•••••• B•••• · Managing Partner, Portfolio Managercontrol
        since 02/2015 · owns 75% or more
      • K•••••••• D•••••• B•••• · Managing Membercontrol
        since 02/2015 · owns 75% or more of M••••• R•••• C•••••• H••••••• L••
      • C••••• W••••••• R••••• · Chief Operating Officer
        since 04/2016 · owns less than 5%
      • H•••••• J••••••••• M•••• · Chief Compliance Officer
        since 09/2020 · owns less than 5%
      • P••••••• G••••••• R•••••• · Chief Financial Officer
        since 04/2019 · owns less than 5%
      Entity owners
      • M••••• R•••• C•••••• H••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••••• R•••• C•••••• G• L••
        bankpooled vehicle sponsorn
      • M•• O••••••••• F••• G• L••
        pooled vehicle sponsorn
      • M•• O••••••••• F••• I• C•• L••
        pooled vehicle sponsorn
      • M•• O••••••••• F••• I• G• L••
        pooled vehicle sponsorn
      • M•• O••••••••• F••• I• C•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Apr 2, 2019 to Mar 27, 2020
      • Advisory employees · 6 to 7
        Apr 2, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 4 to 5
        Apr 2, 2019 to Mar 27, 2020
      • Private funds · 2 to 3
        Apr 2, 2019 to Mar 27, 2020
      • Discretionary RAUM · $1.0B to $1.2B
        Apr 2, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $1.0B to $1.2B
        Apr 2, 2019 to Mar 27, 2020
      • RAUM · $1.0B to $1.2B
        Apr 2, 2019 to Mar 27, 2020
      • Accounts · 6 to 4
        Mar 27, 2018 to Mar 19, 2019
      • Advisory employees · 5 to 6
        Mar 27, 2018 to Mar 19, 2019
      • Pooled vehicle clients · 6 to 4
        Mar 27, 2018 to Mar 19, 2019
      • Employees · 10 to 14
        Mar 27, 2018 to Mar 19, 2019
      • Private funds · 3 to 2
        Mar 27, 2018 to Mar 19, 2019
      • Discretionary RAUM · $661M to $1.0B
        Mar 27, 2018 to Mar 19, 2019
      • Pooled vehicle RAUM · $661M to $1.0B
        Mar 27, 2018 to Mar 19, 2019
      • RAUM · $661M to $1.0B
        Mar 27, 2018 to Mar 19, 2019
      • Pooled vehicle clients · unset to 6.0
        Apr 26, 2017 to Mar 27, 2018
      • Employees · 9 to 10
        Apr 26, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Apr 26, 2017 to Mar 27, 2018
      • Discretionary RAUM · $351M to $661M
        Apr 26, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 660525051.0
        Apr 26, 2017 to Mar 27, 2018
      • RAUM · $351M to $661M
        Apr 26, 2017 to Mar 27, 2018
      • Related adviser · true to false
        Apr 26, 2017 to Mar 27, 2018
      • Private funds · 6 to 3
        Mar 21, 2017 to Apr 12, 2017
      • Accounts · 2 to 6
        Oct 9, 2015 to Mar 21, 2017
      • Business name · L•••• C•••••• P••••••• L• to M••••• R•••• C•••••• L•
        Oct 9, 2015 to Mar 21, 2017
      • Assets in custody · $10.2M to $0
        Oct 9, 2015 to Mar 21, 2017
      • Employees · 7 to 9
        Oct 9, 2015 to Mar 21, 2017
      • Legal name · L•••• C•••••• P••••••• L• to M••••• R•••• C•••••• L•
        Oct 9, 2015 to Mar 21, 2017
      • Private funds · 1 to 6
        Oct 9, 2015 to Mar 21, 2017
      • Discretionary RAUM · $10.2M to $351M
        Oct 9, 2015 to Mar 21, 2017
      • RAUM · $10.2M to $351M
        Oct 9, 2015 to Mar 21, 2017
      • Related adviser · false to true
        Oct 9, 2015 to Mar 21, 2017
      • Related bank · false to true
        Oct 9, 2015 to Mar 21, 2017
      Signals
      3 dated events
      • M••••• R•••• C•••••• L• reported RAUM $1.0B, up 52% from $660.5M (2018-03-27 to 2019-03-19)
        Mar 19, 2019 · RAUM change · derived
      • M••••• R•••• C•••••• L• reported RAUM $660.5M, up 88% from $351.2M (2017-04-26 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      • M••••• R•••• C•••••• L• filed its initial SEC registration (Form ADV)
        Mar 21, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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