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•• L••

Former SEC-registered adviserLondon, CRD 285581SEC 801-108993IAPD
Latest filing Jun 27, 2018
First filing on the tape Jan 16, 2017 · 4 filings
RAUM
$274M
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
14
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$68.9M gross assets
History
4 filings and snapshots on the tape
RAUM$274M as of Jun 27, 2018
Jun 30, 2017$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 27, 2018
Jun 30, 20170 then
Employees (5.A)14 as of Jun 27, 2018
Jun 30, 201720 then
Private funds: 2
RAUM -77% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 2018; 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
$39.2MderivedRAUM 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
-77%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
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$208M76%
  • Pooled investment vehicles$66.3M24%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O••••••• M••••• F••• L••••••Hedge Fund$58.2M3Mar 19, 2018
      A••••••• T•••• P••• M••••• F••• L••••••Hedge Fund$10.7M4Mar 19, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• C••••••••• A••••• · Chief Investment Officercontrol
        since 11/2010 · owns 25% to 50%
      • J•••••••• M••••• · Chief Executive Officercontrol
        since 11/2010 · owns 25% to 50%
      • G••••• M••••••••• B••••• · Chief Operating Officer & Chief Compliance Officer
        since 11/2010 · owns less than 5%
      Entity owners
      • M•••••• R•• ••• L•• · Corporate Member
        direct · owns 25% to 50%
      • I••••••••• I••••• R••••••••• P••• A• T••••••• O• T•• I••••••••• I••••• R••••••••• P••• C••••••••• B••••• M••••••• A•••••• · Trustee
        indirect · owns 50% to 75% of M•••••• Rae (M••••) Holdings L••••••
      • I••••••••• I••••• R••••••••• P••• A• T••••••• O• T•• I••••••••• I••••• R••••••••• P••• J••••••• M••••• M••••••• A•••••• · Trustee
        indirect · owns 50% to 75% of M•••••• Rae (M••••) Holdings L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 6
        Mar 19, 2018 to Jun 27, 2018
      • Employees · 13 to 14
        Mar 19, 2018 to Jun 27, 2018
      • Discretionary RAUM · $280M to $274M
        Mar 19, 2018 to Jun 27, 2018
      • Pooled vehicle RAUM · $68.3M to $66.3M
        Mar 19, 2018 to Jun 27, 2018
      • RAUM · $280M to $274M
        Mar 19, 2018 to Jun 27, 2018
      • Accounts · 4 to 7
        Jun 30, 2017 to Mar 19, 2018
      • Advisory employees · 7 to 4
        Jun 30, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 5.0
        Jun 30, 2017 to Mar 19, 2018
      • Employees · 20 to 13
        Jun 30, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        Jun 30, 2017 to Mar 19, 2018
      • Private funds · unset to 2
        Jun 30, 2017 to Mar 19, 2018
      • Discretionary RAUM · $1.2B to $280M
        Jun 30, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 68300000.0
        Jun 30, 2017 to Mar 19, 2018
      • RAUM · $1.2B to $280M
        Jun 30, 2017 to Mar 19, 2018
      • Advisory employees · 8 to 7
        Jan 16, 2017 to Jun 30, 2017
      • Employees · 18 to 20
        Jan 16, 2017 to Jun 30, 2017
      • Discretionary RAUM · $1.2B to $1.2B
        Jan 16, 2017 to Jun 30, 2017
      • RAUM · $1.2B to $1.2B
        Jan 16, 2017 to Jun 30, 2017
      Signals
      2 dated events
      • M•••••• R•• L•• reported RAUM $279.8M, down 77% from $1.2B (2017-06-30 to 2018-03-19)
        Mar 19, 2018 · RAUM change · derived
      • M•••••• R•• L•• filed its initial SEC registration (Form ADV)
        Jan 16, 2017 · 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