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
M••• M••••••••• F••• A•••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Oct 1, 2015 · 16 filings
SEC status approved since Oct 13, 2015
RAUM
$1.0B
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
27
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.0B as of Aug 12, 2026
Mar 29, 2016$14.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)22 as of Aug 12, 2026
Mar 29, 20165 then
Employees (5.A)27 as of Aug 12, 2026
Mar 29, 20167 then
Private funds: no history
RAUM +74% over the last fiscal year+84% a year over threeIARs 18 to 22
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
- RAUM per advisor
- $46.0MderivedRAUM 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
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 22.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +74%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- A•••••• K••• D•••• · President And Chief Executive Officercontrolsince 09/2015 · owns less than 5%
- D•••••• B••••• · Secretary And Chief Operating Officercontrolsince 09/2015 · owns less than 5%
- E•••••• H•••••• A•••• · Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- A•••••• K••• D•••• · Managing Member, Ceo And Presidentcontrolsince 08/2002 · owns 25% to 50% of M••• M••••••••• L••
- A•••••••• M••••• · Membersince 12/2016 · owns 5% to 10%
- M••••• M••• · Membersince 12/2016 · owns 5% to 10%
Entity owners
- M••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••• M••••••••• E•• A•••••••• L••investment advisernRAUM $2.8B
- M••• M••••••••• L••investment adviserpooled vehicle sponsoryRAUM $1.9B
Advisers that list M••• M••••••••• F••• A•••••••• 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
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $582,146,050 to $1,011,255,965 (+74.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 91.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 91% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 12, 2026 to Sep 4, 2026
- Succession · false to unsetAug 12, 2026 to Sep 4, 2026
- Advisory employees · 20 to 25Mar 31, 2025 to Mar 31, 2026
- Employees · 22 to 27Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 18 to 22Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $582M to $1.0BMar 31, 2025 to Mar 31, 2026
- RAUM · $582M to $1.0BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 16 to 20Sep 25, 2024 to Mar 31, 2025
- Employees · 19 to 22Sep 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 25, 2024 to Mar 31, 2025
- State-registered IARs · 15 to 18Sep 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $370M to $582MSep 25, 2024 to Mar 31, 2025
- RAUM · $370M to $582MSep 25, 2024 to Mar 31, 2025
- Employees · 18 to 19Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 14 to 15Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $162M to $370MMar 30, 2023 to Mar 29, 2024
- RAUM · $162M to $370MMar 30, 2023 to Mar 29, 2024
- Advisory employees · 17 to 16Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 8 to 0Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 16 to 14Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $135M to $162MMar 31, 2022 to Mar 30, 2023
- RAUM · $135M to $162MMar 31, 2022 to Mar 30, 2023
- Advisory employees · 14 to 17Mar 29, 2021 to Mar 31, 2022
- BD registered reps · 7 to 8Mar 29, 2021 to Mar 31, 2022
- Employees · 15 to 18Mar 29, 2021 to Mar 31, 2022
- State-registered IARs · 13 to 16Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $60.3M to $135MMar 29, 2021 to Mar 31, 2022
- RAUM · $60.3M to $135MMar 29, 2021 to Mar 31, 2022
- BD registered reps · 6 to 7Sep 8, 2020 to Mar 29, 2021
- Discretionary RAUM · $78.2M to $60.3MSep 8, 2020 to Mar 29, 2021
- RAUM · $78.2M to $60.3MSep 8, 2020 to Mar 29, 2021
- Advisory employees · 10 to 14Mar 29, 2019 to Mar 27, 2020
- BD registered reps · 3 to 6Mar 29, 2019 to Mar 27, 2020
- Assets in custody · 0.0 to unsetMar 29, 2019 to Mar 27, 2020
- Employees · 12 to 15Mar 29, 2019 to Mar 27, 2020
- State-registered IARs · 9 to 13Mar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $61.0M to $78.2MMar 29, 2019 to Mar 27, 2020
- RAUM · $61.0M to $78.2MMar 29, 2019 to Mar 27, 2020
- Advisory employees · 7 to 10Mar 28, 2018 to Mar 29, 2019
- BD registered reps · 2 to 3Mar 28, 2018 to Mar 29, 2019
Signals
4 dated events
- M••• M••••••••• F••• A•••••••• L•• reported RAUM $1.0B, up 74% from $582.1M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M••• M••••••••• F••• A•••••••• L•• reported RAUM $582.1M, up 57% from $370.5M (2024-09-25 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- M••• M••••••••• F••• A•••••••• L•• reported RAUM $370.5M, up 129% from $162.0M (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- M••• M••••••••• F••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 1, 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
- Website
- mainmgtetfs.com/buywreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-217-5800reportedpublic record, Form ADV, Sep 4, 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
- Asset manager (funds and pooled vehicles)deriveda 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