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••••• C•••••• M••••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Jan 25, 2016 · 22 filings
SEC status approved since Feb 10, 2016
RAUM
$893M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.6%
$49.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$893M as of Aug 5, 2026
Mar 29, 2017$20.2M then
HNW client RAUM$49.9M as of Aug 5, 2026
Mar 28, 2019$173M then
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Mar 29, 20170 then
Employees (5.A)8 as of Aug 5, 2026
Mar 29, 20177 then
Private funds1 as of Aug 5, 2026
Mar 29, 20171 then
RAUM +15% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $49.9MderivedHNW RAUM over HNW clients
- Average account
- $89.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 61%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
- +15%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $44.1M, 3 clientsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pension and profit-sharing plans$537M60%
- Investment companies$231M26%
- Pooled investment vehicles$66.7M7.5%
- High-net-worth individuals$49.9M5.6%
- State and municipal entities$8.3M0.9%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.1M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.06 fund_share=0.33 institutional_share=0.61 related_bd=false related_bank=true bd_reps=1.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• G••••• V•••• F••• M••••• ••••••• L•• | Hedge Fund | $27.4M | 19 | May 27, 2016 |
| M••••• G••••• V•••• F••• L•no longer reported | Hedge Fund | $2.1M | 4 | Jan 25, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M••••••• R• · Partner, Research Analystcontrolsince 10/2015 · owns 10% to 25%
- M••••• J•••• M•••••• · Partner, Research Analystcontrolsince 10/2015 · owns 10% to 25%
- S••••• J••••• A•• · Chief Compliance Officer, Cfocontrolsince 10/2023 · owns less than 5%
- W••••••••• A•••• B••••••••• · Managing Membercontrolsince 10/2015 · owns 75% or more
Related persons
Schedule D 7.A
- M••••• C•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 27, 2025 to Mar 25, 2026
- Assets in custody · $31.8M to $44.1MMar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $779M to $893MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $48.0M to $49.9MMar 27, 2025 to Mar 25, 2026
- Pension RAUM · $584M to $537MMar 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $47.1M to $66.7MMar 27, 2025 to Mar 25, 2026
- RAUM · $779M to $893MMar 27, 2025 to Mar 25, 2026
- Assets in custody · $27.4M to $31.8MMar 28, 2024 to Mar 27, 2025
- Financial planning clients · 0 to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $769M to $779MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $54.4M to $48.0MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $607M to $584MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $42.8M to $47.1MMar 28, 2024 to Mar 27, 2025
- RAUM · $769M to $779MMar 28, 2024 to Mar 27, 2025
- Accounts · 10 to 9Oct 2, 2023 to Mar 28, 2024
- BD registered reps · 2 to 1Oct 2, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetOct 2, 2023 to Mar 28, 2024
- Assets in custody · $22.0M to $27.4MOct 2, 2023 to Mar 28, 2024
- Employees · 9 to 8Oct 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $814M to $769MOct 2, 2023 to Mar 28, 2024
- HNW RAUM · $62.9M to $54.4MOct 2, 2023 to Mar 28, 2024
- Pension RAUM · $583M to $607MOct 2, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $33.0M to $42.8MOct 2, 2023 to Mar 28, 2024
- RAUM · $814M to $769MOct 2, 2023 to Mar 28, 2024
- Assets in custody · $0 to $22.0MMay 19, 2022 to Mar 30, 2023
- Discretionary RAUM · $656M to $814MMay 19, 2022 to Mar 30, 2023
- HNW RAUM · $74.9M to $62.9MMay 19, 2022 to Mar 30, 2023
- Pension RAUM · $462M to $583MMay 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $30.2M to $33.0MMay 19, 2022 to Mar 30, 2023
- RAUM · $656M to $814MMay 19, 2022 to Mar 30, 2023
- Assets in custody · unset to 0.0Mar 29, 2022 to May 19, 2022
- Custody of client assets · false to trueMar 29, 2022 to May 19, 2022
- Accounts · 11 to 10Mar 30, 2021 to Mar 29, 2022
- Advisory employees · 3 to 4Mar 30, 2021 to Mar 29, 2022
- Pension plan clients · 4 to 3Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $660M to $656MMar 30, 2021 to Mar 29, 2022
- HNW RAUM · $78.8M to $74.9MMar 30, 2021 to Mar 29, 2022
- Pension RAUM · $482M to $462MMar 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $24.1M to $30.2MMar 30, 2021 to Mar 29, 2022
- RAUM · $660M to $656MMar 30, 2021 to Mar 29, 2022
Signals
5 dated events
- Ann Julie Smith (Chief Compliance Officer, Cfo) appeared on Schedule A of M••••• C•••••• M••••••••• L••Oct 2, 2023 · Control person joined · fact
- Michael Thomas Quinn (Chief Operating Officer, Cfo, Cco) no longer on Schedule A of M••••• C•••••• M••••••••• L•• (listed 2023-03-30, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- M••••• C•••••• M••••••••• L•• reported RAUM $695.2M, up 33% from $521.3M (2018-07-19 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- M••••• C•••••• M••••••••• L•• reported RAUM $521.3M, up 150% from $208.6M (2018-03-28 to 2018-07-19)Jul 19, 2018 · RAUM change · derived
- M••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 25, 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.
How to reach
public business contact points only, each with its source
- Website
- M•••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 1-212-461-4088reportedpublic record, Form ADV, Aug 5, 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
- Other 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