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••••••••• R••••••• S••••••• L••
Latest filing Mar 26, 2025
First filing on the tape Nov 1, 2016 · 25 filings
SEC status approved since Nov 14, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
129
128 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 26, 2025
Mar 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2025
Mar 28, 20170 then
Employees (5.A)129 as of Mar 26, 2025
Mar 28, 2017127 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 18 to 16
Practice profile
derived from the filing of Mar 26, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• K••••• J•••• · Directorcontrolsince 02/2023 · owns less than 5%
- H•••• M••••••• J••• · Presidentcontrolsince 01/2023 · owns less than 5%
- L•••••• L••••• P••••••• · Global Head Of Manager R•••••••controlsince 07/2024 · owns less than 5%
- R•••• D•••••• P•••••• · Head Of Global Equity R•••••••controlsince 09/2019 · owns less than 5%
- S••••• B•••••••• F•••••• · Interim Chief Compliance Officer & Secretarycontrolsince 11/2023 · owns less than 5%
- M•••••••• J•••••• D••••• · Shareholdercontrolsince 04/1984 · owns 25% to 50% of M••••••••• I•••
Entity owners
- M••••••••• I••• · Sole Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- I••••••• A••••••••• J•••• I•••investment advisern
- M••••••••• A••••••••• I•••investment advisern
- M••••••••• A••••••••• P•• L••••••investment advisern
- M••••••••• I••••••••• A•••••• S•••••••• P•• L••••••investment advisern
- M••••••••• I••••••••• C••••••••• F••••• S••investment advisern
- M••••••••• I••••••••• M••••••••• A••• L••••••investment advisern
- M••••••••• I••••••••• M••••••••• A•••••••• L••••••investment advisern
- M••••••••• I••••••••• M••••••••• E••••• L••investment advisern
- M••••••••• I••••••••• M••••••••• L••investment adviserbanknRAUM $88B
- M••••••••• I••••••••• M••••••••• S•••• A••••• •••• L••investment advisern
- M••••••••• I••••••••• R••••••• I•••• P•••••• L••••••investment advisern
- M••••••••• I••••••••• S••••••• L••broker-dealerinvestment advisern
- M••••••••• K•••• L••investment advisern
- M••••••••• W••••• A••••••••• L••••••investment advisern
- M••••••••• W••••• A••••••••• L••••••investment advisern
- M••••••••• W••••• I••••••••• L••••••investment advisern
- M••••••••• W••••• R••••••••• S••••••• L••••••investment advisern
- S•••• I••••••••• M••••••••• L••••••investment advisern
Advisers that list M••••••••• R••••••• S••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Jul 8, 2024 to Mar 26, 2025
- Advisory employees · 139 to 128Jul 8, 2024 to Mar 26, 2025
- Corporate clients · 10 to 43Jul 8, 2024 to Mar 26, 2025
- Pooled vehicle clients · 34 to 33Jul 8, 2024 to Mar 26, 2025
- Employees · 142 to 129Jul 8, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Jul 8, 2024 to Mar 26, 2025
- Other offices · 18 to 16Jul 8, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 0.0Jul 8, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0Jul 8, 2024 to Mar 26, 2025
- RAUM · unset to 0.0Jul 8, 2024 to Mar 26, 2025
- Advisory employees · 160 to 139Nov 15, 2023 to Mar 27, 2024
- Corporate clients · 1 to 10Nov 15, 2023 to Mar 27, 2024
- Pooled vehicle clients · 10 to 34Nov 15, 2023 to Mar 27, 2024
- Employees · 183 to 142Nov 15, 2023 to Mar 27, 2024
- Other offices · 20 to 18Nov 15, 2023 to Mar 27, 2024
- Advisory employees · 148 to 160Feb 28, 2023 to Mar 27, 2023
- Pooled vehicle clients · 0 to 10Feb 28, 2023 to Mar 27, 2023
- Employees · 174 to 183Feb 28, 2023 to Mar 27, 2023
- Other offices · 0 to 20Feb 28, 2023 to Mar 27, 2023
- Advisory employees · 136 to 148Mar 5, 2021 to Mar 25, 2022
- Employees · 157 to 174Mar 5, 2021 to Mar 25, 2022
- Advisory employees · 135 to 136Jan 14, 2021 to Mar 5, 2021
- Employees · 153 to 157Jan 14, 2021 to Mar 5, 2021
- Advisory employees · 150 to 135Nov 15, 2019 to Mar 12, 2020
- Charity clients · unset to 0.0Nov 15, 2019 to Mar 12, 2020
- Corporate clients · unset to 1.0Nov 15, 2019 to Mar 12, 2020
- HNW clients · unset to 0.0Nov 15, 2019 to Mar 12, 2020
- Individual clients · unset to 0.0Nov 15, 2019 to Mar 12, 2020
- Pension plan clients · unset to 0.0Nov 15, 2019 to Mar 12, 2020
- Pooled vehicle clients · unset to 0.0Nov 15, 2019 to Mar 12, 2020
- Employees · 150 to 153Nov 15, 2019 to Mar 12, 2020
- Advisory employees · 139 to 150Dec 15, 2018 to Mar 23, 2019
- Employees · 139 to 150Dec 15, 2018 to Mar 23, 2019
- Related bank · false to trueDec 15, 2018 to Mar 23, 2019
- Advisory employees · 127 to 139Mar 28, 2017 to Mar 26, 2018
- Employees · 127 to 139Mar 28, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 26, 2018
- HNW RAUM · unset to 0.0Mar 28, 2017 to Mar 26, 2018
- Individual RAUM · unset to 0.0Mar 28, 2017 to Mar 26, 2018
- Pension RAUM · unset to 0.0Mar 28, 2017 to Mar 26, 2018
Signals
16 dated events
- M••••••••• R••••••• S••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02)Feb 2, 2026 · Left the SEC roster · derived
- P••••••• L•••• L••••• (Global Head Of Manager Research) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Jul 8, 2024 · Control person joined · fact
- D••••• K••• (Chief Research And Investment Officer) no longer on Schedule A of M••••••••• R••••••• S••••••• L•• (listed 2024-05-08, absent 2024-07-08)Jul 8, 2024 · Control person left · inference
- M••• Demoss (Co-President) no longer on Schedule A of M••••••••• R••••••• S••••••• L•• (listed 2023-11-15, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Ann Lori Loftus (Chief Compliance Officer & Secretary) no longer on Schedule A of M••••••••• R••••••• S••••••• L•• (listed 2023-07-27, absent 2023-11-15)Nov 15, 2023 · Control person left · inference
- F•••••• B••••••• S•••• (Interim Chief Compliance Officer & Secretary) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Nov 15, 2023 · Control person joined · fact
- D••••• K••• (Chief Research And Investment Officer) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Jul 27, 2023 · Control person joined · fact
- H••••• Lee D••••••• (Head Of Manager And Quantitative Research) no longer on Schedule A of M••••••••• R••••••• S••••••• L•• (listed 2023-05-10, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- M••••••••• R••••••• S••••••• L•• reported 20 offices beyond its principal office, up from 0 (2023-02-28 to 2023-03-27)Mar 27, 2023 · Office count change · derived
- J•••• K•••• C••••••••• (Director) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Feb 28, 2023 · Control person joined · fact
- B••••• H•••••• K•••• (Co-President) no longer on Schedule A of M••••••••• R••••••• S••••••• L•• (listed 2022-03-25, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- John Michael Holt (Co-President) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Jan 3, 2023 · Control person joined · fact
- Barry Jeffrey Ptak (Head Of Manager Research) no longer on Schedule A of M••••••••• R••••••• S••••••• L•• (listed 2020-10-09, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- H••••• Lee D••••••• (Head Of Manager And Quantitative Research) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Jan 14, 2021 · Control person joined · fact
- P•••••• D••••• R••• (Head Of Global Equity Research) appeared on Schedule A of M••••••••• R••••••• S••••••• L••Nov 1, 2019 · Control person joined · fact
- M••••••••• R••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 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