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
U••••• M••••••• C•••••• L••
Latest filing Nov 10, 2022
First filing on the tape Jul 7, 2016 · 32 filings
RAUM
$71.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$71.3M as of Mar 21, 2022
Feb 18, 2017$28.2M then
HNW client RAUM$52.0M as of Mar 21, 2022
Mar 5, 2018$69.5M then
State-registered IARs (5.B.3)0 as of Mar 21, 2022
Feb 18, 20171 then
Employees (5.A)7 as of Mar 21, 2022
Feb 18, 20175 then
Private funds: no history
RAUM -50% over the last fiscal year+8.6% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Nov 10, 2022; 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $766,295derivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -50%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $71.3M, 93 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$52.0M73%
- Individuals$19.3M27%
- Individual clients
- 71reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 93reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.3M for 93 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
- J••••• M••••••• M••••••• S••••••• to N••••• I••••••••• L••Nov 10, 2022 · RIA to a state-registered adviser
Joined, latest
- J••••• M••••••• M••••••• S••••••• from M••••• S••••••Jul 2, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• S•••• S••••• · Principalcontrolsince 08/2015 · owns less than 5%
- M•••••••• J••••• M••••••• · Principalcontrolsince 08/2015 · owns less than 5%
- G•••••••• S•••• S••••• · Membercontrolsince 08/2015 · owns 75% or more of M••••• S•••
- D••••• J•••• M•••• · Chief Compliance Officersince 05/2019 · owns less than 5%
Entity owners
- U••••• M••••••• P••••••• L•• · Memberdirect · owns 75% or more
- M••••• S••• · Memberindirect · owns 75% or more of U••••• M••••••• P••••••• L••
Related persons
Schedule D 7.A
- C••••••• D• V•••••• M•••••••••broker-dealern
- U••••• B•••••• S••• •••••• D• V•••••••broker-dealern
Advisers that list U••••• M••••••• C•••••• L•• as a related person
- 135347 n
Offices
Schedule D 1.F, the 25 largest
- Montevideo, Uruguay1 employees
What changed
consecutive filings, newest first
- Accounts · 90 to 93Sep 8, 2021 to Mar 21, 2022
- HNW clients · 9 to 22Sep 8, 2021 to Mar 21, 2022
- Individual clients · 68 to 71Sep 8, 2021 to Mar 21, 2022
- Assets in custody · unset to 71265463.0Sep 8, 2021 to Mar 21, 2022
- Custody of client assets · false to trueSep 8, 2021 to Mar 21, 2022
- Employees · 6 to 7Sep 8, 2021 to Mar 21, 2022
- Discretionary RAUM · $143M to $71.3MSep 8, 2021 to Mar 21, 2022
- HNW RAUM · $116M to $52.0MSep 8, 2021 to Mar 21, 2022
- Individual RAUM · $27.5M to $19.3MSep 8, 2021 to Mar 21, 2022
- RAUM · $143M to $71.3MSep 8, 2021 to Mar 21, 2022
- Related adviser · true to falseSep 8, 2021 to Mar 21, 2022
- Accounts · 80 to 90Aug 20, 2020 to Mar 7, 2021
- BD registered reps · 0 to 1Aug 20, 2020 to Mar 7, 2021
- Corporate clients · 20.0 to unsetAug 20, 2020 to Mar 7, 2021
- HNW clients · 10 to 9Aug 20, 2020 to Mar 7, 2021
- Individual clients · 54 to 68Aug 20, 2020 to Mar 7, 2021
- Financial planning clients · 0 to unsetAug 20, 2020 to Mar 7, 2021
- Discretionary RAUM · $101M to $143MAug 20, 2020 to Mar 7, 2021
- HNW RAUM · $7.5M to $116MAug 20, 2020 to Mar 7, 2021
- Individual RAUM · $15.0M to $27.5MAug 20, 2020 to Mar 7, 2021
- RAUM · $101M to $143MAug 20, 2020 to Mar 7, 2021
- BD registered reps · 1 to 0Mar 7, 2021 to Mar 7, 2021
- Insurance-licensed employees · 1 to 0Mar 7, 2021 to Mar 7, 2021
- State-registered IARs · 1 to 0Mar 7, 2021 to Mar 7, 2021
- Accounts · 74 to 80Jul 1, 2020 to Aug 20, 2020
- Corporate clients · 10 to 20Jul 1, 2020 to Aug 20, 2020
- Discretionary RAUM · $75.3M to $101MJul 1, 2020 to Aug 20, 2020
- HNW RAUM · $53.4M to $7.5MJul 1, 2020 to Aug 20, 2020
- Individual RAUM · $16.7M to $15.0MJul 1, 2020 to Aug 20, 2020
- RAUM · $75.3M to $101MJul 1, 2020 to Aug 20, 2020
- Accounts · 63 to 74May 8, 2019 to Mar 4, 2020
- Advisory employees · 2 to 1May 8, 2019 to Mar 4, 2020
- Advisory activities · 3 to 2May 8, 2019 to Mar 4, 2020
- Corporate clients · unset to 10.0May 8, 2019 to Mar 4, 2020
- HNW clients · 8 to 10May 8, 2019 to Mar 4, 2020
- Individual clients · 51 to 54May 8, 2019 to Mar 4, 2020
- Employees · 5 to 6May 8, 2019 to Mar 4, 2020
- Discretionary RAUM · $55.6M to $75.3MMay 8, 2019 to Mar 4, 2020
- HNW RAUM · $38.2M to $53.4MMay 8, 2019 to Mar 4, 2020
- Individual RAUM · $17.4M to $16.7MMay 8, 2019 to Mar 4, 2020
Signals
2 dated events
- J••••• M••••••• M••••••• S••••••• left U••••• M••••••• C•••••• L•• for N••••• I••••••••• L•• (registered 2022-08-18)Nov 10, 2022 · Advisor changed firm · fact
- U••••• M••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jul 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