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.
SEC-registered adviser
Midcap Financial Services Capital Management, LLC
Latest filing May 13, 2026
First filing on the tape Nov 11, 2016 · 21 filings
SEC status approved since Nov 28, 2016
RAUM
$7.3B
reported, Item 5.F
Discretionary
66%
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
360
122 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$7.3B as of May 13, 2026
Mar 30, 2017$805M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 13, 2026
Mar 30, 20170 then
Employees (5.A)360 as of May 13, 2026
Mar 30, 2017170 then
Private funds5 as of May 13, 2026
Mar 31, 20233 then
RAUM +3.2% over the last fiscal year+2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 13, 2026; 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
- $606MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%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 assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
- 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$7.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Woodmont 2019-6 LP | Securitized Asset Fund | $623M | 3 | Mar 31, 2023 |
| Woodmont 2017- 3 LP | Securitized Asset Fund | $512M | 1 | Mar 31, 2023 |
| Woodmont 2022-9 Trust | Securitized Asset Fund | $449M | 4 | Mar 31, 2023 |
| Midcap 2023-1 Loan Fund Trust LP | Securitized Asset Fund | $258M | 1 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Alyss Pierrette Bradshaw · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- Mark Steven Curwin · Chief Executive Officer And Chief Investment Officercontrolsince 10/2016 · owns less than 5%
- Jean Lisa Lenderman · General Counselcontrolsince 01/2024 · owns less than 5%
- Gill David Moore · Chief Financial Officercontrolsince 10/2016 · owns less than 5%
- Daniel John O'Dea · Managing Directorcontrolsince 05/2017 · owns less than 5%
Entity owners
- Midcap Financial Services, LLC · Sole Memberdirect · owns 75% or more
- Midcap Financial Holdings Trust · Principal Trusteeindirect · owns F of Midcap Financial Intermediate Holdings Trust
- Midcap Financial Intermediate Holdings Trust · Sole Memberindirect · owns 75% or more of Midcap Financial Services, LLC
- Midcap Financial Issuer Trust · Principal Trusteeindirect · owns F of Midcap Financial Holdings Trust
- Midcap Finco Intermediate LLC · Principal Trusteeindirect · owns 75% or more of Midcap Financial Issuer Trust
- Midcap Finco LLC · Sole Memberindirect · owns 75% or more of Midcap Finco Intermediate LLC
Related persons
Schedule D 7.A
- Midcap Financial Services LLCpooled vehicle sponsorn
- Midcap Financial Trustpooled vehicle sponsorn
- Midcap Finco LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Dublin 2, Ireland5 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 87.0% to 66.0% between the annual amendments of 2025-04-29 and 2026-03-31peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Advisory employees · 66 to 122Jan 30, 2026 to Mar 31, 2026
- Employees · 324 to 360Jan 30, 2026 to Mar 31, 2026
- Private funds · 4 to 5Jan 30, 2026 to Mar 31, 2026
- Discretionary RAUM · $6.2B to $4.8BJan 30, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $884M to $2.5BJan 30, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $7.0B to $7.3BJan 30, 2026 to Mar 31, 2026
- RAUM · $7.0B to $7.3BJan 30, 2026 to Mar 31, 2026
- Accounts · 14 to 12Oct 30, 2024 to Apr 29, 2025
- Advisory employees · 69 to 66Oct 30, 2024 to Apr 29, 2025
- Pooled vehicle clients · 14 to 12Oct 30, 2024 to Apr 29, 2025
- Employees · 320 to 324Oct 30, 2024 to Apr 29, 2025
- Financial planning clients · unset to Oct 30, 2024 to Apr 29, 2025
- Private funds · 3 to 4Oct 30, 2024 to Apr 29, 2025
- Discretionary RAUM · $7.5B to $6.2BOct 30, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $700M to $884MOct 30, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $8.2B to $7.0BOct 30, 2024 to Apr 29, 2025
- RAUM · $8.2B to $7.0BOct 30, 2024 to Apr 29, 2025
- Advisory employees · 124 to 69Mar 29, 2024 to Oct 30, 2024
- Employees · 299 to 320Mar 29, 2024 to Oct 30, 2024
- Private funds · 4 to 3Mar 29, 2024 to Oct 30, 2024
- Accounts · 11 to 14Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 113 to 124Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 11 to 14Mar 31, 2023 to Mar 29, 2024
- Employees · 278 to 299Mar 31, 2023 to Mar 29, 2024
- Private funds · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.4B to $7.5BMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $451M to $700MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $6.8B to $8.2BMar 31, 2023 to Mar 29, 2024
- RAUM · $6.8B to $8.2BMar 31, 2023 to Mar 29, 2024
- Accounts · 10 to 11Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 150 to 113Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 10 to 11Mar 31, 2022 to Mar 31, 2023
- Employees · 249 to 278Mar 31, 2022 to Mar 31, 2023
- Private funds · unset to 3Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.8B to $6.4BMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $451MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.8B to $6.8BMar 31, 2022 to Mar 31, 2023
- RAUM · $5.8B to $6.8BMar 31, 2022 to Mar 31, 2023
- Accounts · 9 to 10Apr 20, 2021 to Mar 31, 2022
- Advisory employees · 180 to 150Apr 20, 2021 to Mar 31, 2022
Signals
6 dated events
- Jean Lisa Lenderman (General Counsel) appeared on Schedule A of Midcap Financial Services Capital Management, LlcOct 30, 2024 · Control person joined · fact
- Paul Robert Goodridge (General Counsel) no longer on Schedule A of Midcap Financial Services Capital Management, Llc (listed 2024-03-29, absent 2024-10-30)Oct 30, 2024 · Control person left · inference
- Midcap Financial Services Capital Management, Llc reported RAUM $5.0B, up 26% from $4.0B (2020-04-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Midcap Financial Services Capital Management, Llc reported RAUM $3.3B, up 1268% from $238.8M (2018-03-29 to 2018-08-30)Aug 30, 2018 · RAUM change · derived
- Midcap Financial Services Capital Management, Llc reported RAUM $238.8M, down 70% from $804.7M (2017-09-28 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Midcap Financial Services Capital Management, Llc filed its initial SEC registration (Form ADV)Nov 11, 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
- Principal office phone
- 301-760-7600reportedpublic record, Form ADV, May 13, 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
- Asset manager (funds and pooled vehicles)deriveda 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