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•• F••••• L••
Latest filing Mar 17, 2026
First filing on the tape Nov 25, 2015 · 18 filings
SEC status approved since Dec 15, 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
34
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Mar 17, 2026
Mar 31, 2016$54.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 31, 20160 then
Employees (5.A)34 as of Mar 17, 2026
Mar 31, 201641 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 17, 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
- 17.0derivedItem 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
- +100%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
- 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
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 AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
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•••••• C••••••• M•••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- H•••••••• B•••• · Chief Financial Officercontrolsince 12/2018 · owns less than 5%
Entity owners
- M••••• H••••• I••••••••• I•• · Managing Memberdirect · owns 75% or more
- M••••••••• I••••••••• I••• E••••••• S•••• O•••••••• T•••• · Trustindirect · owns 75% or more of M••••• H••••• I••••••••• I••
- S•••••••• T•••• · Trusteeindirect · owns F of M••••• H••••• I••••••••• I••
Related persons
Schedule D 7.A
- M••••• H••••• I••••••••• I••investment adviseryRAUM $3.8B
Advisers that list M•• F••••• L•• as a related person
- 105800 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- State-registered IARs · 1 to 2Mar 19, 2025 to Mar 17, 2026
- Accounts · unset to 0.0Mar 15, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 19, 2025
- Discretionary RAUM · unset to 0.0Mar 15, 2024 to Mar 19, 2025
- Non-discretionary RAUM · unset to 0.0Mar 15, 2024 to Mar 19, 2025
- RAUM · unset to 0.0Mar 15, 2024 to Mar 19, 2025
- BD registered reps · 6 to 8Mar 30, 2023 to Mar 15, 2024
- Employees · 32 to 34Mar 30, 2023 to Mar 15, 2024
- State-registered IARs · 0 to 1Mar 30, 2023 to Mar 15, 2024
- HQ city · WOODS•••• to KINGSTONMar 30, 2022 to Jun 30, 2022
- BD registered reps · 0 to 6Mar 30, 2021 to Mar 30, 2022
- Employees · 35 to 32Mar 30, 2021 to Mar 30, 2022
- Accounts · 1.0 to unsetMar 25, 2020 to Mar 30, 2021
- Advisory employees · 9 to 12Mar 25, 2020 to Mar 30, 2021
- Discretionary RAUM · 80374314.0 to unsetMar 25, 2020 to Mar 30, 2021
- Non-discretionary RAUM · 0.0 to unsetMar 25, 2020 to Mar 30, 2021
- RAUM · 80374314.0 to unsetMar 25, 2020 to Mar 30, 2021
- Discretionary RAUM · $246M to $80.4MMar 29, 2019 to Mar 25, 2020
- RAUM · $246M to $80.4MMar 29, 2019 to Mar 25, 2020
- Advisory employees · 10 to 9Nov 20, 2018 to Mar 29, 2019
- Employees · 41 to 35Nov 20, 2018 to Mar 29, 2019
- Discretionary RAUM · $118M to $246MNov 20, 2018 to Mar 29, 2019
- RAUM · $118M to $246MNov 20, 2018 to Mar 29, 2019
- Other offices · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $80.9M to $118MMar 30, 2017 to Mar 29, 2018
- RAUM · $80.9M to $118MMar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $54.6M to $80.9MMar 31, 2016 to Mar 30, 2017
- RAUM · $54.6M to $80.9MMar 31, 2016 to Mar 30, 2017
- Accounts · 0 to 1Mar 2, 2016 to Mar 31, 2016
- Advisory employees · 6 to 10Mar 2, 2016 to Mar 31, 2016
- Employees · 9 to 41Mar 2, 2016 to Mar 31, 2016
- Discretionary RAUM · $0 to $54.6MMar 2, 2016 to Mar 31, 2016
- RAUM · $0 to $54.6MMar 2, 2016 to Mar 31, 2016
Signals
6 dated events
- Glaser Lowell Miller (Chief Investment Officer) no longer on Schedule A of M•• F••••• L•• (listed 2020-03-25, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- M•• F••••• L•• reported RAUM $80.4M, down 67% from $246.0M (2019-03-29 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- M•• F••••• L•• reported RAUM $246.0M, up 108% from $118.5M (2018-11-20 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Brian Helhoski (Chief Financial Officer) appeared on Schedule A of M•• F••••• L••Mar 29, 2019 · Control person joined · fact
- Andrew Paul Brook (Chief Financial Officer) no longer on Schedule A of M•• F••••• L•• (listed 2018-11-20, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- M•• F••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 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/M•••••-H•••••-INVESTMENTSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.m•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-679-9166reportedpublic record, Form ADV, Mar 17, 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