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Former SEC-registered adviser

M••••• I••••••••• M••••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 284228SEC 801-113664IAPD
Latest filing Jul 1, 2020
First filing on the tape Jun 10, 2016 · 10 filings
RAUM
$5.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$5.4M as of Feb 21, 2020
Mar 21, 2017$14.1M then
HNW client RAUM$5.4M as of Feb 21, 2020
Mar 29, 2019$12.5M then
State-registered IARs (5.B.3)0 as of Feb 21, 2020
Mar 21, 20170 then
Employees (5.A)2 as of Feb 21, 2020
Mar 21, 20172 then
Private funds: no history
RAUM -60% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 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
$674,348derivedHNW RAUM over HNW clients
Average account
$605,196derivedRAUM 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
-60%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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$4.8MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.4M99%
  • Individuals$51,9751.0%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• A•••• A• · Membercontrol
        since 08/2016 · owns 10% to 25%
      • M•••••• R••••••• M••••••• · Ceo, Ccocontrol
        since 08/2016 · owns 25% to 50%
      • S••••••• M••••••• Y••• · Cio, Cfocontrol
        since 08/2016 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 9
        Mar 29, 2019 to Feb 21, 2020
      • Charity clients · unset to 0.0
        Mar 29, 2019 to Feb 21, 2020
      • Corporate clients · unset to 0.0
        Mar 29, 2019 to Feb 21, 2020
      • HNW clients · 6 to 8
        Mar 29, 2019 to Feb 21, 2020
      • Individual clients · 7.0 to unset
        Mar 29, 2019 to Feb 21, 2020
      • Pension plan clients · unset to 0.0
        Mar 29, 2019 to Feb 21, 2020
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2019 to Feb 21, 2020
      • Discretionary RAUM · $13.7M to $5.4M
        Mar 29, 2019 to Feb 21, 2020
      • HNW RAUM · $12.5M to $5.4M
        Mar 29, 2019 to Feb 21, 2020
      • Individual RAUM · $1.2M to $51,975
        Mar 29, 2019 to Feb 21, 2020
      • Pension RAUM · unset to 0.0
        Mar 29, 2019 to Feb 21, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2019 to Feb 21, 2020
      • RAUM · $13.7M to $5.4M
        Mar 29, 2019 to Feb 21, 2020
      • HNW clients · 7 to 6
        Jun 21, 2018 to Mar 29, 2019
      • Individual clients · 6 to 7
        Jun 21, 2018 to Mar 29, 2019
      • Discretionary RAUM · $15.3M to $13.7M
        Jun 21, 2018 to Mar 29, 2019
      • HNW RAUM · $14.2M to $12.5M
        Jun 21, 2018 to Mar 29, 2019
      • Individual RAUM · $1.1M to $1.2M
        Jun 21, 2018 to Mar 29, 2019
      • RAUM · $15.3M to $13.7M
        Jun 21, 2018 to Mar 29, 2019
      • Accounts · 11 to 13
        Sep 13, 2017 to Jun 21, 2018
      • Advisory activities · 2 to 1
        Sep 13, 2017 to Jun 21, 2018
      • HNW clients · unset to 7.0
        Sep 13, 2017 to Jun 21, 2018
      • Individual clients · unset to 6.0
        Sep 13, 2017 to Jun 21, 2018
      • Other offices · unset to 0.0
        Sep 13, 2017 to Jun 21, 2018
      • Discretionary RAUM · $14.1M to $15.3M
        Sep 13, 2017 to Jun 21, 2018
      • HNW RAUM · unset to 14166515.0
        Sep 13, 2017 to Jun 21, 2018
      • Individual RAUM · unset to 1097817.0
        Sep 13, 2017 to Jun 21, 2018
      • RAUM · $14.1M to $15.3M
        Sep 13, 2017 to Jun 21, 2018
      • Wrap assets (manager) · unset to 0.0
        Sep 13, 2017 to Jun 21, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Sep 13, 2017 to Jun 21, 2018
      • Discretionary RAUM · $13.1M to $14.1M
        Nov 2, 2016 to Mar 21, 2017
      • RAUM · $13.1M to $14.1M
        Nov 2, 2016 to Mar 21, 2017
      • Accounts · 0 to 11
        Sep 6, 2016 to Nov 2, 2016
      • Discretionary RAUM · $0 to $13.1M
        Sep 6, 2016 to Nov 2, 2016
      • RAUM · $0 to $13.1M
        Sep 6, 2016 to Nov 2, 2016
      • Business name · M•••••• I••••••••• M••••••••• L•• to M••••• I••••••••• M••••••••• C•••••• L••
        Aug 19, 2016 to Sep 6, 2016
      • Legal name · M•••••• I••••••••• M••••••••• L•• to M••••• I••••••••• M••••••••• C•••••• L••
        Aug 19, 2016 to Sep 6, 2016
      • Advisory employees · 1 to 2
        Jun 10, 2016 to Aug 19, 2016
      • Employees · 1 to 2
        Jun 10, 2016 to Aug 19, 2016
      Signals
      1 dated events
      • M•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 10, 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