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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Former SEC-registered adviser

M••••••••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 283240SEC 801-107993IAPD
Latest filing Mar 21, 2019
First filing on the tape Jun 13, 2016 · 7 filings
RAUM
$103M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$55.6M gross assets
History
7 filings and snapshots on the tape
RAUM$103M as of Mar 21, 2019
Mar 31, 2017$23.3M then
HNW client RAUM$0 as of Mar 21, 2019
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 21, 2019
Mar 31, 20170 then
Employees (5.A)9 as of Mar 21, 2019
Mar 31, 20178 then
Private funds1 as of Mar 21, 2019
Mar 31, 20171 then
RAUM +92% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
$25.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+92%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • Pooled investment vehicles$55.6M54%
  • Corporations and businesses$47.9M46%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• M••••• F••• L•Hedge Fund$55.6M25Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• R••••••• J••• · Ceo/Cio/Membercontrol
        since 10/2015 · owns 50% to 75%
      • J••••• L••••• S••••• · President/Membercontrol
        since 10/2015 · owns 25% to 50%
      • S•••• T••••••• T•••••• · Coo/Ccocontrol
        since 01/2016 · owns less than 5%
      • H•••••• R••••••• J••• · Ownercontrol
        since 10/2015 · owns 50% to 75% of M••••••••• C•••••• ••• L••
      • J••••• L••••• S••••• · Ownercontrol
        since 10/2015 · owns 25% to 50% of M••••••••• C•••••• ••• L••
      Entity owners
      • M••••••••• C•••••• ••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••••••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $54.0M to $103M
        Apr 17, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $23.7M to $55.6M
        Apr 17, 2018 to Mar 21, 2019
      • RAUM · $54.0M to $103M
        Apr 17, 2018 to Mar 21, 2019
      • Advisory activities · 1 to 2
        Aug 7, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Aug 7, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Discretionary RAUM · $32.7M to $54.0M
        Aug 7, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 23724095.0
        Aug 7, 2017 to Mar 28, 2018
      • RAUM · $32.7M to $54.0M
        Aug 7, 2017 to Mar 28, 2018
      • Advisory employees · 3 to 4
        Jun 28, 2017 to Aug 7, 2017
      • Employees · 8 to 9
        Jun 28, 2017 to Aug 7, 2017
      • Accounts · 3 to 4
        Mar 31, 2017 to Jun 28, 2017
      • Discretionary RAUM · $23.3M to $32.7M
        Mar 31, 2017 to Jun 28, 2017
      • RAUM · $23.3M to $32.7M
        Mar 31, 2017 to Jun 28, 2017
      • Accounts · unset to 3.0
        Jun 13, 2016 to Mar 31, 2017
      • Assets in custody · unset to 0.0
        Jun 13, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Jun 13, 2016 to Mar 31, 2017
      • Employees · 7 to 8
        Jun 13, 2016 to Mar 31, 2017
      • Private funds · unset to 1
        Jun 13, 2016 to Mar 31, 2017
      • Discretionary RAUM · unset to 23292184.0
        Jun 13, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · unset to 0.0
        Jun 13, 2016 to Mar 31, 2017
      • RAUM · unset to 23292184.0
        Jun 13, 2016 to Mar 31, 2017
      Signals
      1 dated events
      • M••••••••• C•••••• L• filed its initial SEC registration (Form ADV)
        Jun 13, 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