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
C••••• R••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Aug 3, 2020 · 10 filings
SEC status approved since Sep 2, 2020
RAUM
$4.8B
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
70
30 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$4.8B as of Mar 30, 2026
Mar 29, 2021$7.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20210 then
Employees (5.A)70 as of Mar 30, 2026
Mar 29, 202167 then
Private funds: no history
RAUM -32% over the last fiscal year-17% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $2.4BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%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 pooled vehiclesreportedItem 5.G
- Custody
- $4.8B, 2 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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
- Pooled investment vehicles$4.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• R••••••• J•• · Ceo And Member Of The Board Of Representativescontrolsince 08/2015 · owns less than 5%
- M•••••••• J•••• M•••••• · Presidentcontrolsince 04/2021 · owns less than 5%
- R••••••••• D•••••• M••• · Chief Financial Officer Of C••••• R••• M••••••••• L•controlsince 05/2023 · owns less than 5%
- S•••••• J••••••• D•••• · General Counsel & Coocontrolsince 10/2015 · owns less than 5%
- S••••••••• A•••••• M••• · Member Of The Board Of Representativescontrolsince 08/2015 · owns less than 5%
- Y••••• K•••••••• A•• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- F••••••••• R•••••• S•••• · Membercontrolsince 10/2006 · owns 25% to 50% of S•••• M••• P•••••••• L••
- M•••• R••••••• J•• · Membercontrolsince 04/2015 · owns 25% to 50% of M••• M•••• H•••••• L••
- M•••• S••••••• F•••••• · Membercontrolsince 10/2006 · owns 25% to 50% of S•••• M••• P•••••••• L••
Entity owners
- A•• V•• C••••• M•••••• G•• L•• · General Partnerdirect · owns less than 5%
- A•• V•• C••••• M••••••• L• · Limited Partnerdirect · owns 25% to 50%
- M•••• G• L•• · General Partnerdirect · owns less than 5%
- M•••• H••••••• L•• · Limited Partnerdirect · owns 50% to 75%
- A•••••• R••••• S••••••••• V••• L••• · Memberindirect · owns F of A•• V•• C••••• M•••••• G•• L••
- A•••••• R••••• S••••••••• V••• L••• · Limited Partnerindirect · owns 75% or more of A•• V•• C••••• M••••••• L•
- M••• M•••• H•••••• L•• · Memberindirect · owns 75% or more of M•••• G• L••
- M••• M•••• H•••••• L•• · Memberindirect · owns 75% or more of M•••• H••••••• L••
- S•••• M••• P•••••••• L•• · Memberindirect · owns 25% to 50% of M••• M•••• H•••••• L••
Related persons
Schedule D 7.A
- M••• R••• E••••• C••••• S••••••••• L•••investment advisernRAUM $1.0B
- M••• F••• M••••••••• L••investment advisern
Advisers that list C••••• R••• M••••••••• L• as a related person
- 167609 n
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA4 employees
- Miami, FL2 employees
- Greenwich, CT1 employees
- Phoenix, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $7,007,616,000 to $4,762,301,000 (-32.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 2.6% percentile
What changed
consecutive filings, newest first
- Advisory employees · 34 to 30Jun 16, 2025 to Mar 30, 2026
- Assets in custody · $7.0B to $4.8BJun 16, 2025 to Mar 30, 2026
- Employees · 78 to 70Jun 16, 2025 to Mar 30, 2026
- Other offices · 3 to 2Jun 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $7.0B to $4.8BJun 16, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $7.0B to $4.8BJun 16, 2025 to Mar 30, 2026
- RAUM · $7.0B to $4.8BJun 16, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jun 16, 2025
- Advisory employees · 39 to 34May 1, 2024 to Mar 27, 2025
- Assets in custody · $8.1B to $7.0BMay 1, 2024 to Mar 27, 2025
- Employees · 90 to 78May 1, 2024 to Mar 27, 2025
- Other offices · 4 to 3May 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $8.1B to $7.0BMay 1, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $8.1B to $7.0BMay 1, 2024 to Mar 27, 2025
- RAUM · $8.1B to $7.0BMay 1, 2024 to Mar 27, 2025
- Assets in custody · $8.2B to $8.1BMar 31, 2023 to Mar 28, 2024
- Employees · 102 to 90Mar 31, 2023 to Mar 28, 2024
- Other offices · 3 to 4Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $8.2B to $8.1BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $8.2B to $8.1BMar 31, 2023 to Mar 28, 2024
- RAUM · $8.2B to $8.1BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 27 to 39Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $7.5B to $8.2BMar 31, 2022 to Mar 31, 2023
- Employees · 74 to 102Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.5B to $8.2BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $7.5B to $8.2BMar 31, 2022 to Mar 31, 2023
- RAUM · $7.5B to $8.2BMar 31, 2022 to Mar 31, 2023
- Accounts · 3 to 2Mar 29, 2021 to Mar 31, 2022
- Advisory employees · 22 to 27Mar 29, 2021 to Mar 31, 2022
- Assets in custody · $7.1B to $7.5BMar 29, 2021 to Mar 31, 2022
- Employees · 67 to 74Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $7.0B to $7.5BMar 29, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $130M to $0Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $7.0B to $7.5BMar 29, 2021 to Mar 31, 2022
- RAUM · $7.1B to $7.5BMar 29, 2021 to Mar 31, 2022
- Advisory employees · 20 to 22Sep 24, 2020 to Mar 29, 2021
- Assets in custody · $7.0B to $7.1BSep 24, 2020 to Mar 29, 2021
- Employees · 63 to 67Sep 24, 2020 to Mar 29, 2021
- Other offices · 2 to 3Sep 24, 2020 to Mar 29, 2021
- Discretionary RAUM · $6.8B to $7.0BSep 24, 2020 to Mar 29, 2021
Signals
8 dated events
- C••••• R••• M••••••••• L• reported RAUM $4.8B, down 32% from $7.0B (2025-06-16 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- D••••• R•••••••• (Chief Financial Officer Of C••••• R••• M••••••••• L•) appeared on Schedule A of C••••• R••• M••••••••• L•Mar 28, 2024 · Control person joined · fact
- Jai Agarwal (Chief Financial Officer) no longer on Schedule A of C••••• R••• M••••••••• L• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael John Mcgillis (President & Coo) appeared on Schedule A of C••••• R••• M••••••••• L•Mar 31, 2022 · Control person joined · fact
- Jai Agarwal (Chief Financial Officer) appeared on Schedule A of C••••• R••• M••••••••• L•Mar 31, 2022 · Control person joined · fact
- Ann K••••••• Y•••• (Chief Compliance Officer) appeared on Schedule A of C••••• R••• M••••••••• L•Mar 31, 2022 · Control person joined · fact
- J. Peter Sotoloff (Member Of The Board Of Representatives) no longer on Schedule A of C••••• R••• M••••••••• L• (listed 2020-09-24, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- C••••• R••• M••••••••• L• filed its initial SEC registration (Form ADV)Aug 3, 2020 · 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
- Firm profile
- linkedin.com/company/mack-real-estate-groupreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/claros-mortgage-trustreportedpublic record, Form ADV, Sep 18, 2026
- Website
- clarosmortgage.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-484-0050reportedpublic record, Form ADV, Mar 30, 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