DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••••••• C••• M•••••••••

Former SEC-registered adviserCRD 281799SEC 801-107154IAPD
Latest filing Jul 26, 2017
First filing on the tape Jan 7, 2016 · 12 filings
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$0 as of Jul 26, 2017
Jan 7, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 26, 2017
Jan 7, 20161 then
Employees (5.A)1 as of Jul 26, 2017
Jan 7, 20161 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 26, 2017; 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
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consultingreportedItem 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
  • 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, fixed, hourlyreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A••• · Ccocontrol
        since 10/2015 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 2
        Jun 2, 2017 to Jun 22, 2017
      • Business name · A•• B•••• to M•••••••• C••• M•••••••••
        Jun 2, 2017 to Jun 22, 2017
      • Legal name · A•• B•••• to M•••••••• C••• M•••••••••
        Jun 2, 2017 to Jun 22, 2017
      • Accounts · 1 to 0
        May 22, 2017 to Jun 2, 2017
      • HQ city · FORT LAUDERDALE to unset
        May 22, 2017 to Jun 2, 2017
      • HQ state · FL to unset
        May 22, 2017 to Jun 2, 2017
      • Organization form · Sole Proprietorship to Limited Liability Company
        May 22, 2017 to Jun 2, 2017
      • Discretionary RAUM · $181M to $0
        May 22, 2017 to Jun 2, 2017
      • RAUM · $181M to $0
        May 22, 2017 to Jun 2, 2017
      • Business name · M•••••••• C••• M••••••••• to A•• B••••
        Feb 12, 2017 to May 17, 2017
      • Accounts · 6 to 1
        Jan 7, 2017 to Feb 12, 2017
      • Advisory activities · 4 to 3
        Jan 7, 2017 to Feb 12, 2017
      • Discretionary RAUM · $500M to $181M
        Jan 7, 2017 to Feb 12, 2017
      • Non-discretionary RAUM · $1.3B to $0
        Jan 7, 2017 to Feb 12, 2017
      • RAUM · $1.8B to $181M
        Jan 7, 2017 to Feb 12, 2017
      • Accounts · 1 to 6
        May 26, 2016 to Jan 7, 2017
      • Advisory activities · 1 to 4
        May 26, 2016 to Jan 7, 2017
      • HQ city · MIAMI BEACH to FORT LAUDERDALE
        May 26, 2016 to Jan 7, 2017
      • Legal name · M•••••••• C••• M•••••••••, LLC to A•• B••••
        May 26, 2016 to Jan 7, 2017
      • Discretionary RAUM · $0 to $500M
        May 26, 2016 to Jan 7, 2017
      • Non-discretionary RAUM · $580M to $1.3B
        May 26, 2016 to Jan 7, 2017
      • RAUM · $580M to $1.8B
        May 26, 2016 to Jan 7, 2017
      • Succession · true to false
        May 26, 2016 to Jan 7, 2017
      • Accounts · 0 to 1
        Jan 15, 2016 to May 26, 2016
      • Advisory activities · 2 to 1
        Jan 15, 2016 to May 26, 2016
      • BD registered reps · 1 to 0
        Jan 15, 2016 to May 26, 2016
      • HQ city · CAPE CORAL to MIAMI BEACH
        Jan 15, 2016 to May 26, 2016
      • Organization form · Limited Liability Partnership to Sole Proprietorship
        Jan 15, 2016 to May 26, 2016
      • Non-discretionary RAUM · $0 to $580M
        Jan 15, 2016 to May 26, 2016
      • RAUM · $0 to $580M
        Jan 15, 2016 to May 26, 2016
      • Succession · false to true
        Jan 15, 2016 to May 26, 2016
      Signals
      2 dated events
      • M•••••••• C••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 26, 2016 · Succession (Item 4) · fact
      • M•••••••• C••• M••••••••• filed its initial SEC registration (Form ADV)
        Jan 7, 2016 · 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