DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

M••••• F••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 285632SEC 801-108716IAPD

Latest filing Jun 11, 2019

First filing on the tape Nov 16, 2016 · 7 filings

RAUM

$125M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$24.9M gross assets

History

7 filings and snapshots on the tape

RAUM$125M as of Mar 19, 2019

Mar 1, 2017$125M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 19, 2019

Mar 1, 20170 then

Employees (5.A)3 as of Mar 19, 2019

Mar 1, 20172 then

Private funds2 as of Mar 19, 2019

Mar 1, 20171 then

RAUM -12% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jun 11, 2019; 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: $31.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 88%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: -12%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: yesreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

Pension and profit-sharing plans$110M88%
Pooled investment vehicles$15.0M12%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 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

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M••••• F•••• L•••	Hedge Fund	$15.0M	8	Nov 16, 2016
M••••• F••• O••••••• F••••• S•	Hedge Fund	$10.0M	1	Mar 28, 2018

Owners and control persons

Schedule A and B, latest filing

M•••••• D••••• S•••••• · Managing Member, Chief Compliance Officercontrol
since 05/2012 · owns 75% or more
S••••••• D••••• · Coo And Cfocontrol
since 11/2016 · owns less than 5%

Related persons

Schedule D 7.A

M••••• F••• C•••••• P•••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 5 to 4
Jul 17, 2018 to Mar 19, 2019
Discretionary RAUM · $143M to $125M
Jul 17, 2018 to Mar 19, 2019
Pension RAUM · $85.0M to $110M
Jul 17, 2018 to Mar 19, 2019
Pooled vehicle RAUM · $32.5M to $15.0M
Jul 17, 2018 to Mar 19, 2019
RAUM · $143M to $125M
Jul 17, 2018 to Mar 19, 2019
Advisory employees · 2 to 3
Mar 29, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 2.0
Mar 29, 2017 to Mar 28, 2018
Assets in custody · $5.8M to $0
Mar 29, 2017 to Mar 28, 2018
Employees · 2 to 3
Mar 29, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 28, 2018
Private funds · 1 to 2
Mar 29, 2017 to Mar 28, 2018
Discretionary RAUM · $125M to $143M
Mar 29, 2017 to Mar 28, 2018
Pension RAUM · unset to 85000000.0
Mar 29, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 32541864.0
Mar 29, 2017 to Mar 28, 2018
RAUM · $125M to $143M
Mar 29, 2017 to Mar 28, 2018
Accounts · 10 to 5
Nov 16, 2016 to Mar 1, 2017
Advisory activities · 3 to 2
Nov 16, 2016 to Mar 1, 2017
Assets in custody · $102M to $5.8M
Nov 16, 2016 to Mar 1, 2017
Financial planning clients · 0 to unset
Nov 16, 2016 to Mar 1, 2017
Discretionary RAUM · $102M to $125M
Nov 16, 2016 to Mar 1, 2017
RAUM · $102M to $125M
Nov 16, 2016 to Mar 1, 2017

Signals

1 dated events

M••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Nov 16, 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