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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Latest filing Jul 28, 2026
First filing on the tape Sep 5, 2019 · 16 filings
SEC status approved since Oct 8, 2019
RAUM
$2.8B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
121
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.8B as of Jul 28, 2026
Apr 7, 2020$287M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 28, 2026
Apr 7, 20201 then
Employees (5.A)1 as of Jul 28, 2026
Apr 7, 20201 then
Private funds121 as of Jul 28, 2026
Apr 7, 202066 then
RAUM +145% over the last fiscal year+51% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.8BderivedRAUM 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
- $34.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +145%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 82reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• L•••• B•••••••• | New York, Ny | Apr 27, 2026 | 33 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
179 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• A••••••• F••• I• L• A• I• | Private Equity Fund | $128M | 331 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• V•••••• | Private Equity Fund | $80.0M | 23 | Mar 31, 2022 |
| M•• O••••••••• F••• L•• M•• V•••••••• V••••no longer reported | Private Equity Fund | $67.9M | 93 | Mar 31, 2021 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• V•••• | Private Equity Fund | $60.3M | 80 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• V••••• | Private Equity Fund | $53.0M | 58 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•••• | Private Equity Fund | $48.4M | 30 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2••• E•• | Private Equity Fund | $32.7M | 1 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $32.1M | 143 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $31.5M | 80 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L••• S••••• S••••• V•••• | Private Equity Fund | $28.0M | 1 | Mar 31, 2021 |
| M•• F••• V• L•• M•• V• S••••• V•••• | Private Equity Fund | $28.0M | 1 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L••••• V••••••• V•••• | Private Equity Fund | $25.4M | 80 | Feb 29, 2024 |
| M•• O••••••••• F••• I• L••no longer reported | Private Equity Fund | $24.3M | 90 | Dec 24, 2015 |
| M•• O••••••••• F••• I• L••• S••••• A••••no longer reported | Private Equity Fund | $24.0M | 89 | May 6, 2019 |
| M•• A••••••• V•• L••• V•• | Private Equity Fund | $24.0M | 1 | Feb 29, 2024 |
| M•• O••••••••• F••• V• L••• S••••• V••••no longer reported | Private Equity Fund | $23.6M | 85 | May 6, 2019 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• V••••no longer reported | Private Equity Fund | $22.0M | 86 | Mar 31, 2022 |
| M•• O••••••••• F••• L••no longer reported | Private Equity Fund | $20.5M | 90 | Dec 24, 2015 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• V•••• | Private Equity Fund | $20.4M | 58 | Mar 31, 2022 |
| M•• O••••••••• F••• I• L••• S••••• E•• | Private Equity Fund | $18.6M | 5 | Mar 31, 2023 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $17.2M | 2 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L••• S••••• V•••••• | Private Equity Fund | $16.7M | 19 | Mar 31, 2021 |
| M•• O••••••••• F••• V• L••• S••••• S••••• V•••• | Private Equity Fund | $16.3M | 81 | Mar 31, 2021 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• V••••no longer reported | Private Equity Fund | $15.8M | 18 | Mar 31, 2022 |
| M•• O••••••••• F••• L•• M•• V•••••••• V•••• | Private Equity Fund | $15.1M | 10 | Apr 7, 2020 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $14.5M | 43 | Feb 29, 2024 |
| M•• O••••••••• F••• V• L•• M•• V••••••• V••••• | Private Equity Fund | $14.3M | 58 | Feb 29, 2024 |
| M•• A••••••• F••• I• Q• L• A• I• Q• | Private Equity Fund | $14.2M | 92 | Mar 31, 2022 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•••• | Private Equity Fund | $14.0M | 30 | Feb 29, 2024 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $13.8M | 34 | Feb 29, 2024 |
| M•• O••••••••• F••• V• L••• S••••• D•••no longer reported | Private Equity Fund | $13.5M | 28 | May 6, 2019 |
| M•• O••••••••• F••• V• L••••• V••••••• 2•• | Private Equity Fund | $13.3M | 2 | Mar 31, 2023 |
| M•• O••••••••• F••• V• L•• S••••• 2•• | Private Equity Fund | $13.2M | 2 | Feb 29, 2024 |
| M•• A••••••• F••• I• L• | Private Equity Fund | $13.1M | 32 | Mar 31, 2021 |
| M•• O••••••••• F••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $12.9M | 43 | Feb 29, 2024 |
| M•• O••••••••• F••• V• L••••• V••••••• 2•• | Private Equity Fund | $12.8M | 75 | Feb 29, 2024 |
| M•• O••••••••• F••• L•• M•• V•••••••• V••••no longer reported | Private Equity Fund | $12.7M | 39 | Mar 31, 2021 |
| M•• O••••••••• F••• I• L••• S••••• P••••no longer reported | Private Equity Fund | $12.5M | 2 | May 6, 2019 |
| M•• A••••••• F••• I•• L••• S••••• 2• | Private Equity Fund | $12.3M | 60 | May 6, 2019 |
| M•• O••••••••• V• L•• M•• V• S••••• 2•• | Private Equity Fund | $12.3M | 45 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• E•••• L•••• · Managing Member And Chief Operating Officer, Ccocontrolsince 09/2014 · owns less than 5%
- C•••••• J••••• E••• · Managing Membercontrolsince 09/2014 · owns less than 5%
- F••••••• B••••••• D•••• · Managing Membercontrolsince 08/2019 · owns less than 5%
- B••••••••• E•••• L•••• · M••••••controlsince 08/2014 · owns F of M•••••••• V•••••• H••••••• L••
- C•••••• J••••• E••• · M••••••controlsince 08/2014 · owns F of M•••••••• V•••••• H••••••• L••
- F••••••• B••••••• D•••• · M••••••controlsince 08/2019 · owns F of M•••••••• V•••••• H••••••• L••
Entity owners
- M•••••••• V•••••• H••••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- V••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 28, 2026discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: ASSET_M••••••, $1B to $5B (1,506) · 0.0% percentile
- many private funds relative to firm sizeStatic outlier · filing Jul 28, 2026private funds per $1B of RAUM of 43.1 against a peer median of 4.3 (949 comparable advisers, 99.0th percentile, 12.4 robust deviations)peers: ASSET_M••••••, $1B to $5B (949) · 99% percentile
- RAUM up 50 %Change between filings · filing Apr 10, 2026RAUM (Item 5.F) moved from $1,144,639,052 to $2,809,615,786 (+145.0%) between the annual amendments of 2025-04-01 and 2026-04-10; the peer median change was +11.0% (1368 comparable advisers, 96.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 73 to 82May 14, 2025 to Apr 10, 2026
- Pooled vehicle clients · 73 to 82May 14, 2025 to Apr 10, 2026
- Private funds · 112 to 121May 14, 2025 to Apr 10, 2026
- Non-discretionary RAUM · $1.1B to $2.8BMay 14, 2025 to Apr 10, 2026
- Pooled vehicle RAUM · $1.1B to $2.8BMay 14, 2025 to Apr 10, 2026
- RAUM · $1.1B to $2.8BMay 14, 2025 to Apr 10, 2026
- Financial planning clients · unset to Apr 1, 2025 to May 14, 2025
- Accounts · 107 to 73Feb 29, 2024 to Apr 1, 2025
- Pooled vehicle clients · 107 to 73Feb 29, 2024 to Apr 1, 2025
- Private funds · 107 to 112Feb 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $621M to $1.1BFeb 29, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $621M to $1.1BFeb 29, 2024 to Apr 1, 2025
- RAUM · $621M to $1.1BFeb 29, 2024 to Apr 1, 2025
- Accounts · 62 to 107Mar 31, 2023 to Feb 29, 2024
- Pooled vehicle clients · 62 to 107Mar 31, 2023 to Feb 29, 2024
- Private funds · 99 to 107Mar 31, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $814M to $621MMar 31, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · $814M to $621MMar 31, 2023 to Feb 29, 2024
- RAUM · $814M to $621MMar 31, 2023 to Feb 29, 2024
- Accounts · 64 to 62Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 64 to 62Mar 31, 2022 to Mar 31, 2023
- Private funds · 105 to 99Mar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.0B to $814MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.0B to $814MMar 31, 2022 to Mar 31, 2023
- RAUM · $1.0B to $814MMar 31, 2022 to Mar 31, 2023
- Accounts · 11 to 64Jun 15, 2021 to Mar 31, 2022
- Pooled vehicle clients · 11 to 64Jun 15, 2021 to Mar 31, 2022
- Private funds · 73 to 105Jun 15, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $504M to $1.0BJun 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $504M to $1.0BJun 15, 2021 to Mar 31, 2022
- RAUM · $504M to $1.0BJun 15, 2021 to Mar 31, 2022
- Accounts · 9 to 11Mar 31, 2021 to Apr 1, 2021
- Pooled vehicle clients · 9 to 11Mar 31, 2021 to Apr 1, 2021
- Private funds · 66 to 73Jun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $287M to $0Jun 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $0 to $504MJun 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $287M to $504MJun 30, 2020 to Mar 31, 2021
- RAUM · $287M to $504MJun 30, 2020 to Mar 31, 2021
- Private funds · 44 to 66Oct 10, 2019 to Apr 7, 2020
- Discretionary RAUM · $230M to $287MOct 10, 2019 to Apr 7, 2020
Signals
5 dated events
- M•• M•••••• L•• reported RAUM $2.8B, up 145% from $1.1B (2025-05-14 to 2026-04-10)Apr 10, 2026 · RAUM change · derived
- M•• M•••••• L•• reported RAUM $1.1B, up 84% from $620.9M (2024-02-29 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- M•• M•••••• L•• reported RAUM $1.0B, up 108% from $504.1M (2021-06-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- M•• M•••••• L•• reported RAUM $504.1M, up 76% from $287.0M (2020-06-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- M•• O• M•••••• filed its initial SEC registration (Form ADV)Sep 5, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•• M•••••• L•• · Independent Sponsorsshared crd · capital_provider
- M•• M•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-858-9900reportedpublic record, Form ADV, Jul 28, 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 M••••••deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026