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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SEC-registered adviser
M• C•••••• A•••••••
Legal name M• F•••••••• L••
Latest filing May 12, 2026
First filing on the tape Jan 21, 2026 · 3 filings
SEC status approved since Feb 19, 2026
RAUM
$158M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
6.8%
$10.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$158M as of May 12, 2026
Jan 21, 2026$40.4M then
HNW client RAUM$4.2M as of May 12, 2026
Jan 21, 2026$7.5M then
State-registered IARs (5.B.3)2 as of May 12, 2026
Jan 21, 20262 then
Employees (5.A)6 as of May 12, 2026
Jan 21, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
- RAUM per advisor
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $377,563derivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, 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
- Investment companies$103M65%
- Pension and profit-sharing plans$40.1M25%
- Individuals$6.6M4.2%
- High-net-worth individuals$4.2M2.6%
- Charitable organizations$3.5M2.2%
- Corporations and businesses$159,0560.1%
- Individual clients
- 36reported
- HNW clients
- 11reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 57reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.07 fund_share=0.65 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• M•••••••• | Valencia, Ca | Sep 14, 2017 | 32 y | 3 |
| N••••• M••••• | Valencia, Ca | Dec 9, 2025 | 38 y | 3 |
| E••••• H•••• K••••• | Valencia, Ca | Mar 30, 2026 | 34 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E••••• H•••• K••••• from C••• P•••••• W••••• A•••••••• I•••Mar 30, 2026 · Other
- N••••• M••••• from C••••••• A••••••• N••••••• L••Dec 9, 2025 · Other
- M••• A••••• M•••••••• from C•••••••• W••••• M•••••••••Sep 14, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• E•••••• H•••• · Cco And Coocontrolsince 12/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Valencia, Ca · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 12, 2026institutional share of RAUM of 28% against a peer median of 0% (1567 comparable advisers, 99.0th percentile, 9.3 robust deviations)peers: asset managers, $100M to $500M (1,567) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 60 to 57Mar 31, 2026 to May 12, 2026
- Corporate clients · 3 to 2Mar 31, 2026 to May 12, 2026
- HNW clients · 12 to 11Mar 31, 2026 to May 12, 2026
- Individual clients · 38 to 36Mar 31, 2026 to May 12, 2026
- Pension plan clients · 4 to 5Mar 31, 2026 to May 12, 2026
- Discretionary RAUM · $32.3M to $144MMar 31, 2026 to May 12, 2026
- HNW RAUM · $6.1M to $4.2MMar 31, 2026 to May 12, 2026
- Individual RAUM · $12.9M to $6.6MMar 31, 2026 to May 12, 2026
- Non-discretionary RAUM · $7.5M to $14.0MMar 31, 2026 to May 12, 2026
- Pension RAUM · $16.8M to $40.1MMar 31, 2026 to May 12, 2026
- RAUM · $39.7M to $158MMar 31, 2026 to May 12, 2026
- Accounts · 73 to 60Jan 21, 2026 to Mar 31, 2026
- Corporate clients · 2 to 3Jan 21, 2026 to Mar 31, 2026
- HNW clients · 15 to 12Jan 21, 2026 to Mar 31, 2026
- Individual clients · 51 to 38Jan 21, 2026 to Mar 31, 2026
- Discretionary RAUM · $32.8M to $32.3MJan 21, 2026 to Mar 31, 2026
- HNW RAUM · $7.5M to $6.1MJan 21, 2026 to Mar 31, 2026
- Individual RAUM · $12.3M to $12.9MJan 21, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $7.5M to $7.5MJan 21, 2026 to Mar 31, 2026
- Pension RAUM · $16.9M to $16.8MJan 21, 2026 to Mar 31, 2026
- RAUM · $40.4M to $39.7MJan 21, 2026 to Mar 31, 2026
Signals
No event on the tape.
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
- Website
- capforceetf.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (661) 347-0202reportedpublic record, Form ADV, May 12, 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026