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 283862SEC 801-109930IAPD
Latest filing Mar 29, 2019
First filing on the tape Jan 25, 2017 · 5 filings
RAUM
$170M
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
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$127M gross assets
History
5 filings and snapshots on the tape
RAUM$170M as of Mar 29, 2019
Mar 30, 2018$290M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20180 then
Employees (5.A)14 as of Mar 29, 2019
Mar 30, 201816 then
Private funds2 as of Mar 29, 2019
Mar 30, 20182 then
RAUM -41% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$33.9MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-41%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 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$170M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••• C•••••• M••••• F••• L•Hedge Fund$78.3M15Sep 26, 2016
      P•• M•••••• F•••• S••• • S••••••••• P•••••••• 2••Hedge Fund$48.9M11Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• A•••• S••••• · Coocontrol
        since 06/2016 · owns less than 5%
      • P•••••• P••••• N•• · Cfo/Ccocontrol
        since 06/2016 · owns less than 5%
      • S••••••••• K•••••• T••••••• · Ceo/Ciocontrol
        since 06/2016 · owns less than 5%
      • S••••••••• K•••••• T••••••• · Managing Membercontrol
        since 07/2012 · owns 75% or more of M•••• L••
      • S••••••••• K•••••• T••••••• · M••••••control
        since 06/2016 · owns 75% or more of M•••• C•••••• L••
      Entity owners
      • M•••• L•• · Majority Owner
        direct · owns 75% or more
      • M•••• C•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M•••• C•••••• L••
        pooled vehicle sponsory
      • M•••• C•••••• P••••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Stamford, CT4 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 8
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 16 to 14
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $290M to $170M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $290M to $170M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $290M to $170M
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 4 to 5
        Jul 10, 2017 to Mar 30, 2018
      • Advisory employees · 6 to 9
        Jul 10, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 1
        Jul 10, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 5.0
        Jul 10, 2017 to Mar 30, 2018
      • Employees · 15 to 16
        Jul 10, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Jul 10, 2017 to Mar 30, 2018
      • Private funds · 1 to 2
        Jul 10, 2017 to Mar 30, 2018
      • Discretionary RAUM · $31.0M to $290M
        Jul 10, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 289629099.0
        Jul 10, 2017 to Mar 30, 2018
      • RAUM · $31.0M to $290M
        Jul 10, 2017 to Mar 30, 2018
      • Related bank · true to false
        Jul 10, 2017 to Mar 30, 2018
      • Private funds · 2 to 1
        Jan 25, 2017 to Feb 2, 2017
      Signals
      2 dated events
      • M•••• C•••••• L• reported RAUM $169.6M, down 41% from $289.6M (2018-03-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • M•••• C•••••• L• filed its initial SEC registration (Form ADV)
        Jan 25, 2017 · 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