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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
M••••• P•••• C••••• M••••••••• L••
Latest filing Jul 27, 2023
First filing on the tape Aug 2, 2016 · 24 filings
RAUM
$7.8B
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
19
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
$7.9B gross assets
History
24 filings and snapshots on the tape
RAUM$7.8B as of Mar 28, 2023
Mar 30, 2017$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 30, 20170 then
Employees (5.A)19 as of Mar 28, 2023
Mar 30, 20179 then
Private funds20 as of Mar 28, 2023
Mar 30, 201710 then
RAUM +9.1% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 27, 2023; 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
- $371MderivedRAUM 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
- +9.1%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $147M, 1 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)
- 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$7.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $147M for 1 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• C•• I•• L•••no longer reported | Securitized Asset Fund | $400M | 2 | Mar 30, 2017 |
| M• C•• V•• L•••no longer reported | Securitized Asset Fund | $398M | 6 | Mar 31, 2015 |
| A••• C•• 2•••••no longer reported | Securitized Asset Fund | $223M | 5 | Mar 27, 2013 |
| M••••• P•••• I••••••••• L•no longer reported | Private Equity Fund | $171M | 33 | Mar 30, 2017 |
| S•••••••• B•••• L•••no longer reported | Securitized Asset Fund | $33.9M | 1 | Feb 28, 2020 |
| M• C•• V• L•••no longer reported | Securitized Asset Fund | $2.3M | 3 | Sep 23, 2014 |
Owners and control persons
Schedule A and B, latest filing
- G•••• C••••• S•••• · Director Of Capital Markets And Head Tradercontrolsince 01/2017 · owns less than 5%
- S•••••••• T•••••• H••••• · Chief Executive Officer And Chief Investment Officercontrolsince 08/2016 · owns less than 5%
- S••••• E•••••• B••••••••• · Chief Compliance Officer; General Counselcontrolsince 04/2021 · owns less than 5%
Entity owners
- I•• C••••• M••••••••• F••••••••• L•• · Managing Memberdirect · owns 75% or more
- C• H••••••• L•••••• · Shareh•••••indirect · owns 50% to 75% of I••••••••• H••••••• L••••••
- I•••• H••••••• L••• · Shareh•••••indirect · owns 75% or more of I•••• I••••••••• S•• L•••
- I•••• I••••••••• S•• L••• · Shareh•••••indirect · owns 50% to 75% of S•••• L••••••
- I••••••••• H••••••• L•••••• · Shareh•••••indirect · owns 75% or more of I••••••••• S•••
- I••••••••• I••••••••• H••••••• I••• · Shareh•••••indirect · owns 75% or more of I•• C••••• M••••••••• F••••••••• L••
- I••••••••• S••• · Shareh•••••indirect · owns 75% or more of I••••••••• I••••••••• H••••••• I•••
- O•••••••• H••••••• L•••••• · Shareh•••••indirect · owns 50% to 75% of C• H••••••• L••••••
- S•••• H••••••• L•••••• · Shareh•••••indirect · owns 75% or more of I•••• H••••••• L•••
- S•••• L•••••• · Shareh•••••indirect · owns 25% to 50% of O•••••••• H••••••• L••••••
Related persons
Schedule D 7.A
- C• I••••••••• P•••••••• L••investment advisernRAUM $444M
- I•• N••••••• H••••••• L••••••broker-dealern
- I•• S••••• L••• F••• C•••••••••pooled vehicle sponsory
- I••••••••• ••• D••••• L••••••investment advisern
- I••••••••• A••••••• R••••• I••••••••• L••investment advisernRAUM $1.1B
- I••••••••• A••• F•••••••• S••••••• P•••••• L••••••broker-dealern
- I••••••••• A•••• F••• G• L••••••pooled vehicle sponsorn
- I••••••••• C••••• M••••••••• E• L••••••investment advisern
- I••••••••• C••••• M••••••••• U• L••investment advisernRAUM $12B
- I••••••••• E••••••• B••••• F••• 2••• G•• L•pooled vehicle sponsorn
- I••••••••• E••••••• P•••••• E••••• F••• I•• G• L••••••pooled vehicle sponsorn
- I••••••••• E••••••• P•••••• E••••• F••• I•• G• S•••••••pooled vehicle sponsorn
- I••••••••• F•••••••• S••••••• B••••••••broker-dealerinvestment advisern
- I••••••••• F•••••• A• G• L••••••pooled vehicle sponsorn
- I••••••••• F••• M••••••••• S••••••• L••••••investment advisern
- I••••••••• G••• I••••••••• B••••••••broker-dealerinvestment advisern
- I••••••••• I•••• A•••• M••••••• P•••••• L••••••investment advisern
- I••••••••• I••••••••• A••••••• L••••••investment advisernRAUM $222M
- I••••••••• I••••••••• A••••••• L••investment advisernRAUM $5.5B
- I••••••••• I••••••••• M••••••• I•••• L••investment advisern
- I••••••••• I••••••••• S•••••••• L••investment advisernRAUM $2.8B
- I••••••••• I••••••••• L••broker-dealern
- I••••••••• J••••• L••broker-dealern
- I••••••••• M••••••••• H•••••••• L•••investment advisern
- I••••••••• M••••••••• S••••••• L••••••investment advisern
- I••••••••• N•••••• H••••• L••••••broker-dealern
- I••••••••• N•••• A••••••• P•••••• E••••• F••• I• G• S•• R•••pooled vehicle sponsorn
- I••••••••• N•••• A••••••• P•••••• E••••• F••• I• G•• L•••pooled vehicle sponsorn
- I••••••••• P•••••• C••••• A•••••• I• L••investment advisern
- I••••••••• P•••••• E••••• 2••• F••• G• L•investment adviserpooled vehicle sponsorn
Advisers that list M••••• P•••• C••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 21Feb 6, 2023 to Mar 28, 2023
- BD registered reps · 2 to 1Feb 6, 2023 to Mar 28, 2023
- Pooled vehicle clients · 19 to 20Feb 6, 2023 to Mar 28, 2023
- Assets in custody · $189M to $147MFeb 6, 2023 to Mar 28, 2023
- Employees · 22 to 19Feb 6, 2023 to Mar 28, 2023
- Private funds · 19 to 20Feb 6, 2023 to Mar 28, 2023
- Discretionary RAUM · $7.1B to $7.8BFeb 6, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $7.1B to $7.8BFeb 6, 2023 to Mar 28, 2023
- RAUM · $7.1B to $7.8BFeb 6, 2023 to Mar 28, 2023
- Related bank · true to falseFeb 6, 2023 to Mar 28, 2023
- HQ city · GREENWICH to NEW YORKJul 12, 2022 to Feb 6, 2023
- HQ state · CT to NYJul 12, 2022 to Feb 6, 2023
- Accounts · 17 to 20Aug 25, 2021 to Mar 30, 2022
- BD registered reps · 1 to 2Aug 25, 2021 to Mar 30, 2022
- Corporate clients · 1.0 to unsetAug 25, 2021 to Mar 30, 2022
- Pooled vehicle clients · 16 to 19Aug 25, 2021 to Mar 30, 2022
- Assets in custody · $187M to $189MAug 25, 2021 to Mar 30, 2022
- Employees · 20 to 22Aug 25, 2021 to Mar 30, 2022
- Private funds · 15 to 19Aug 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $5.9B to $7.1BAug 25, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $5.9B to $7.1BAug 25, 2021 to Mar 30, 2022
- RAUM · $5.9B to $7.1BAug 25, 2021 to Mar 30, 2022
- Accounts · 13 to 17Jan 29, 2021 to Mar 31, 2021
- Advisory employees · 9 to 10Jan 29, 2021 to Mar 31, 2021
- Corporate clients · unset to 1.0Jan 29, 2021 to Mar 31, 2021
- Pooled vehicle clients · 12 to 16Jan 29, 2021 to Mar 31, 2021
- Assets in custody · $292M to $187MJan 29, 2021 to Mar 31, 2021
- Employees · 17 to 20Jan 29, 2021 to Mar 31, 2021
- Private funds · 12 to 15Jan 29, 2021 to Mar 31, 2021
- Discretionary RAUM · $4.9B to $5.9BJan 29, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $4.8B to $5.9BJan 29, 2021 to Mar 31, 2021
- RAUM · $4.9B to $5.9BJan 29, 2021 to Mar 31, 2021
- Related broker-dealer · false to trueJan 29, 2021 to Mar 31, 2021
- Accounts · 11 to 13Mar 28, 2019 to Feb 28, 2020
- Advisory employees · 7 to 9Mar 28, 2019 to Feb 28, 2020
- Pooled vehicle clients · 10 to 12Mar 28, 2019 to Feb 28, 2020
- Assets in custody · $299M to $292MMar 28, 2019 to Feb 28, 2020
- Employees · 16 to 17Mar 28, 2019 to Feb 28, 2020
- Private funds · 10 to 12Mar 28, 2019 to Feb 28, 2020
- Discretionary RAUM · $4.0B to $4.9BMar 28, 2019 to Feb 28, 2020
Signals
16 dated events
- K Philip Li (Chief Financial And Operating Officer) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2023-07-10, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- Dawson James Carey (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Robert James Matthews (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Philip Thomas Majewski (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- David Nicolas Zerbib (Managing Member) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Jay David Wermuth (Managing Member) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Arthur Charles Davis (Managing Member) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Michael Daniel Spinner (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Jonathan Scott Bronner (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-07-12, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- S Nauman Malik (General Counsel) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2022-03-30, absent 2022-07-12)Jul 12, 2022 · Control person left · inference
- Butterworth Edward Smith (Chief Compliance Officer; Counsel) appeared on Schedule A of M••••• P•••• C••••• M••••••••• L••May 24, 2021 · Control person joined · fact
- Scott Brian Zeitlin (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2021-03-31, absent 2021-05-24)May 24, 2021 · Control person left · inference
- S Nauman Malik (Chief Compliance Officer & General Counsel) appeared on Schedule A of M••••• P•••• C••••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- Campbell Graham Goldsmith (Board Of Managers (Elected Manager)) no longer on Schedule A of M••••• P•••• C••••• M••••••••• L•• (listed 2020-02-28, absent 2020-10-09)Oct 9, 2020 · Control person left · inference
- Jonathan Scott Bronner (Board Of Managers (Elected Manager)) appeared on Schedule A of M••••• P•••• C••••• M••••••••• L••Oct 9, 2020 · Control person joined · fact
- M••••• P•••• C••••• P••••••• L•• filed its initial SEC registration (Form ADV)Aug 2, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••••• P•••• C••••• M••••••••• L•• · Private Equityshared crd · organization
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