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.

Former SEC-registered adviser

Madison Capital Funding LLC

Former SEC-registered adviserChicago, IllinoisCRD 284091SEC 801-107923IAPD
Latest filing May 11, 2020
First filing on the tape May 27, 2016 · 10 filings
RAUM
$3.7B
reported, Item 5.F
Discretionary
98%
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
101
77 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
28
$3.4B gross assets
History
10 filings and snapshots on the tape
RAUM$3.7B as of Mar 30, 2020
Mar 31, 2017$2.1B then
HNW client RAUM$0 as of Mar 30, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 31, 20170 then
Employees (5.A)101 as of Mar 30, 2020
Mar 31, 201794 then
Private funds28 as of Mar 30, 2020
Mar 31, 201717 then
RAUM +19% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2020; 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
$131MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
+19%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
Custody
$135M, 2 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)
  • 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$3.7B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
28reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$135M for 2 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Mcf Clo III LLCno longer reportedSecuritized Asset Fund$306M2Feb 20, 2013
      Mcf Clo I LLCno longer reportedSecuritized Asset Fund$688,4462May 20, 2013
      Mcf Clo II LLCno longer reportedSecuritized Asset Fund$648,0012May 20, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • Michael Francis Harte · Elected Manager And Member Of The Audit Committeecontrol
        since 07/2014 · owns less than 5%
      • Alexander Thomas Hendry · Elected Manager, Chairman Of Audit Committeecontrol
        since 02/2014 · owns less than 5%
      • (Nmn) Yie-Hsin Hung · Chairman Of The Board And Elected Manager, And Member Of The Audit Committeecontrol
        since 02/2017 · owns less than 5%
      • Elaine Monica Kelsey · Chief Financial Officer And Managing Directorcontrol
        since 01/2012 · owns less than 5%
      • Ramsey Anthony Malloy · Elected Manager And Member Of The Audit Committeecontrol
        since 01/2012 · owns less than 5%
      • Todd Kevin Medina · Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      • Harutyun Arthur Seter · Elected Managercontrol
        since 01/2015 · owns less than 5%
      • Wells Christopher Taylor · Senior Managing Director, Chief Executive Officercontrol
        since 07/2018 · owns less than 5%
      • Jae Sung Yoon · Elected Managercontrol
        since 05/2017 · owns less than 5%
      Entity owners
      • New York Life Insurance · Member
        direct · owns 50% to 75%
      • New York Life Insurance And Annuity Corporation · Member
        direct · owns 25% to 50%
      • New York Life Investments Alternatives LLC · Non-Member Manager
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • Ausbil Investment Management Limited
        investment adviserbankpooled vehicle sponsornRAUM $14B
      • Candriam Belgium S.A.
        investment adviserbankpooled vehicle sponsornRAUM $123B
      • Candriam France S.A.S.
        investment adviserbankpooled vehicle sponsornRAUM $35B
      • Candriam S.C.A.
        investment adviserbankpooled vehicle sponsornRAUM $155B
      • Goldpoint Partners LLC
        investment adviserpooled vehicle sponsornRAUM $14B
      • Indexiq Advisors LLC
        investment adviserbanknRAUM $10B
      • Mackay Shields LLC
        investment adviserbankpooled vehicle sponsornRAUM $160B
      • Madison Avenue Loan Fund Gp LLC
        pooled vehicle sponsory
      • Mcf Co-Investment Gp LLC
        pooled vehicle sponsory
      • Mcf Co-Investment Gp LP
        pooled vehicle sponsory
      • Montpelier Gp LLC
        pooled vehicle sponsory
      • New York Life Insurance And Annuity Corporation
        bankreal estatey
      • New York Life Insurance Company
        bankreal estatey
      • New York Life Investment Management Asia Limited
        investment advisern
      • New York Life Investment Management Hong Kong Limited
        broker-dealern
      • New York Life Investment Management LLC
        investment advisernRAUM $121B
      • New York Life Trust Company
        bankpooled vehicle sponsorn
      • Nyl Investors LLC
        investment adviserbankpooled vehicle sponsornRAUM $329B
      • Nylife Distributors LLC
        broker-dealern
      • Private Advisors LLC
        investment adviserbankpooled vehicle sponsornRAUM $5.2B
      • Seguros Monterrey New York Life, S.A. De C.V.
        real estaten
      Advisers that list Madison Capital Funding LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 28
        May 31, 2019 to Mar 30, 2020
      • Advisory employees · 71 to 77
        May 31, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 23 to 28
        May 31, 2019 to Mar 30, 2020
      • Assets in custody · $158M to $135M
        May 31, 2019 to Mar 30, 2020
      • Employees · 92 to 101
        May 31, 2019 to Mar 30, 2020
      • Private funds · 23 to 28
        May 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.0B to $3.6B
        May 31, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $101M to $80.2M
        May 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.1B to $3.7B
        May 31, 2019 to Mar 30, 2020
      • RAUM · $3.1B to $3.7B
        May 31, 2019 to Mar 30, 2020
      • Accounts · 17 to 23
        Feb 16, 2019 to Mar 29, 2019
      • Advisory employees · 75 to 71
        Feb 16, 2019 to Mar 29, 2019
      • Pooled vehicle clients · 17 to 23
        Feb 16, 2019 to Mar 29, 2019
      • Assets in custody · $74.6M to $158M
        Feb 16, 2019 to Mar 29, 2019
      • Employees · 93 to 92
        Feb 16, 2019 to Mar 29, 2019
      • Private funds · 17 to 23
        Feb 16, 2019 to Mar 29, 2019
      • Discretionary RAUM · $2.2B to $3.0B
        Feb 16, 2019 to Mar 29, 2019
      • Non-discretionary RAUM · $0 to $101M
        Feb 16, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.2B to $3.1B
        Feb 16, 2019 to Mar 29, 2019
      • RAUM · $2.2B to $3.1B
        Feb 16, 2019 to Mar 29, 2019
      • Accounts · 18 to 17
        Mar 31, 2017 to Mar 28, 2018
      • Advisory activities · 2 to 1
        Mar 31, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 17.0
        Mar 31, 2017 to Mar 28, 2018
      • Assets in custody · $39.7M to $74.6M
        Mar 31, 2017 to Mar 28, 2018
      • Employees · 94 to 93
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.1B to $2.2B
        Mar 31, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 2186444565.0
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $2.1B to $2.2B
        Mar 31, 2017 to Mar 28, 2018
      • Accounts · 17 to 18
        Jul 15, 2016 to Mar 31, 2017
      • Advisory employees · 69 to 75
        Jul 15, 2016 to Mar 31, 2017
      • Assets in custody · unset to 39680978.0
        Jul 15, 2016 to Mar 31, 2017
      Signals
      4 dated events
      • Madison Capital Funding Llc reported RAUM $3.1B, up 42% from $2.2B (2019-02-16 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Joseph Hugh Wade (Chief Executive Officer , Managing Director, And Elected Manager) no longer on Schedule A of Madison Capital Funding Llc (listed 2018-03-28, absent 2019-02-16)
        Feb 16, 2019 · Control person left · inference
      • Madison Capital Funding Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 27, 2016 · Succession (Item 4) · fact
      • Madison Capital Funding Llc filed its initial SEC registration (Form ADV)
        May 27, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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