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••• S•••••• L••

Former SEC-registered adviserCRD 288033SEC 801-121931IAPD
Latest filing Mar 22, 2022
First filing on the tape Jun 28, 2018 · 3 filings
RAUM
$1.4B
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$1.4B gross assets
History
3 filings and snapshots on the tape
RAUM$1.4B as of Mar 22, 2022
Jun 28, 2018$350M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2022
Jun 28, 20180 then
Employees (5.A)2 as of Mar 22, 2022
Jun 28, 20186 then
Private funds2 as of Mar 22, 2022
Jun 28, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 2022; 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
$345MderivedRAUM 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
unknownderivedbetween 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 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B100%
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
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• N•••• · Non-Access, Non-Voting Membercontrol
        since 07/2014 · owns 25% to 50%
      • R•••• L•••• · Managing Membercontrol
        since 07/2014 · owns 25% to 50%
      • S••••• J••••• · Chief Compliance Officercontrol
        since 07/2014 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list M••• S•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 4 to 2
        Jun 29, 2021 to Mar 22, 2022
      • Discretionary RAUM · $1.2B to $1.4B
        Jun 29, 2021 to Mar 22, 2022
      • Pooled vehicle RAUM · $1.2B to $1.4B
        Jun 29, 2021 to Mar 22, 2022
      • RAUM · $1.2B to $1.4B
        Jun 29, 2021 to Mar 22, 2022
      • Advisory employees · 4 to 2
        Jun 28, 2018 to Jun 29, 2021
      • Assets in custody · unset to 0.0
        Jun 28, 2018 to Jun 29, 2021
      • Employees · 6 to 2
        Jun 28, 2018 to Jun 29, 2021
      • Financial planning clients · 0 to unset
        Jun 28, 2018 to Jun 29, 2021
      • Private funds · 2 to 4
        Jun 28, 2018 to Jun 29, 2021
      • Discretionary RAUM · $350M to $1.2B
        Jun 28, 2018 to Jun 29, 2021
      • Pooled vehicle RAUM · $350M to $1.2B
        Jun 28, 2018 to Jun 29, 2021
      • RAUM · $350M to $1.2B
        Jun 28, 2018 to Jun 29, 2021
      Signals
      2 dated events
      • M••• S•••••• L•• reported RAUM $1.2B, up 245% from $350.0M (2018-06-28 to 2021-06-29)
        Jun 29, 2021 · RAUM change · derived
      • M••• S•••••• L•• filed its initial SEC registration (Form ADV)
        Jun 28, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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