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••••• A•••• M•••••••••
Legal name M••••• C•••••• I•••
Latest filing Jun 10, 2024
First filing on the tape Aug 5, 2016 · 26 filings
RAUM
$36.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$36.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$36.3M as of Mar 11, 2024
Mar 28, 2017$14.6M then
HNW client RAUM$35.6M as of Mar 11, 2024
Mar 17, 2018$18.5M then
State-registered IARs (5.B.3)1 as of Mar 11, 2024
Mar 28, 20171 then
Employees (5.A)1 as of Mar 11, 2024
Mar 28, 20171 then
Private funds: no history
RAUM -30% over the last fiscal year-23% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jun 10, 2024; every figure names its basis
- RAUM per advisor
- $36.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $725,646derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$35.6M98%
- Individuals$655,4101.8%
- Individual clients
- 3reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 50reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• O••••••••• | Newport, Ri | Jul 2, 2024 | 18 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• O••••••••• from C•••••• W••••• M•••••••••Jul 2, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boston, MA1 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1May 8, 2023 to Mar 11, 2024
- Individual clients · 5 to 3May 8, 2023 to Mar 11, 2024
- Discretionary RAUM · $51.9M to $36.3MMay 8, 2023 to Mar 11, 2024
- HNW RAUM · $28.2M to $35.6MMay 8, 2023 to Mar 11, 2024
- Individual RAUM · $395,603 to $655,410May 8, 2023 to Mar 11, 2024
- RAUM · $51.9M to $36.3MMay 8, 2023 to Mar 11, 2024
- HQ city · BOSTON to NEWPORTFeb 23, 2023 to Feb 26, 2023
- HQ state · MA to RIFeb 23, 2023 to Feb 26, 2023
- Legal name · M••••• CAPITAL LLC to M••••• CAPITAL INC.Feb 17, 2023 to Feb 22, 2023
- Other offices · 0 to 1Feb 17, 2023 to Feb 22, 2023
- Succession · true to falseFeb 17, 2023 to Feb 22, 2023
- Accounts · 44 to 50Mar 12, 2022 to Feb 17, 2023
- HNW clients · 20 to 21Mar 12, 2022 to Feb 17, 2023
- Organization form · Limited Liability Company to CorporationMar 12, 2022 to Feb 17, 2023
- Discretionary RAUM · $110M to $51.9MMar 12, 2022 to Feb 17, 2023
- HNW RAUM · $41.7M to $28.2MMar 12, 2022 to Feb 17, 2023
- Individual RAUM · $573,019 to $395,603Mar 12, 2022 to Feb 17, 2023
- RAUM · $110M to $51.9MMar 12, 2022 to Feb 17, 2023
- Succession · false to trueMar 12, 2022 to Feb 17, 2023
- Accounts · 40 to 44Apr 12, 2021 to Mar 12, 2022
- HNW clients · 18 to 20Apr 12, 2021 to Mar 12, 2022
- Individual clients · 4 to 5Apr 12, 2021 to Mar 12, 2022
- Discretionary RAUM · $210M to $110MApr 12, 2021 to Mar 12, 2022
- HNW RAUM · $35.4M to $41.7MApr 12, 2021 to Mar 12, 2022
- Individual RAUM · $500,193 to $573,019Apr 12, 2021 to Mar 12, 2022
- RAUM · $210M to $110MApr 12, 2021 to Mar 12, 2022
- Accounts · 37 to 40Feb 8, 2021 to Apr 11, 2021
- Discretionary RAUM · $80.4M to $210MFeb 8, 2021 to Apr 11, 2021
- HNW RAUM · $31.5M to $35.4MFeb 8, 2021 to Apr 11, 2021
- Individual RAUM · $438,553 to $500,193Feb 8, 2021 to Apr 11, 2021
- RAUM · $80.4M to $210MFeb 8, 2021 to Apr 11, 2021
- Accounts · 40 to 37Dec 14, 2020 to Feb 8, 2021
- Discretionary RAUM · $45.0M to $80.4MDec 14, 2020 to Feb 8, 2021
- HNW RAUM · $24.1M to $31.5MDec 14, 2020 to Feb 8, 2021
- Individual RAUM · $282,783 to $438,553Dec 14, 2020 to Feb 8, 2021
- RAUM · $45.0M to $80.4MDec 14, 2020 to Feb 8, 2021
- Accounts · 34 to 40Mar 9, 2020 to Jun 26, 2020
- HNW clients · 17 to 18Mar 9, 2020 to Jun 26, 2020
- Discretionary RAUM · $37.8M to $45.0MMar 9, 2020 to Jun 26, 2020
- HNW RAUM · $21.9M to $24.1MMar 9, 2020 to Jun 26, 2020
Signals
3 dated events
- M••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 17, 2023 · Succession (Item 4) · fact
- M••••• A•••• M••••••••• reported RAUM $210.1M, up 161% from $80.4M (2021-02-08 to 2021-04-11)Apr 11, 2021 · RAUM change · derived
- M••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Aug 5, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/M•••••-ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- M•••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
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
- $36.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026