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••• C•••••• G•••• I•••
Latest filing Jun 9, 2023
First filing on the tape Mar 6, 2018 · 10 filings
RAUM
$253M
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$240M gross assets
History
10 filings and snapshots on the tape
RAUM$253M as of Mar 28, 2023
Mar 28, 2019$271M then
HNW client RAUM$98.3M as of Mar 28, 2022
Mar 28, 2019$39.3M then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 28, 20190 then
Employees (5.A)8 as of Mar 28, 2023
Mar 28, 20199 then
Private funds1 as of Mar 28, 2023
Mar 28, 20191 then
RAUM -40% over the last fiscal year-7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 2023; 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
- $84.2MderivedRAUM 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
- -40%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $253M, 3 clientsreportedItem 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)
- 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$253M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $253M for 3 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• C•••••• G•••• M••••• F••• L••• | Hedge Fund | $240M | 5 | Mar 6, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D• M•••••• E• S••••• F•••••••• J••• F•••••• · Presidentcontrolsince 07/2014 · owns less than 5%
- F•••••••• G••••••••• C•••••• · Chief Executive Officer & Chief Investment Officercontrolsince 08/2015 · owns less than 5%
- L•••• M•••••• P•••• · Chief Compliance Officer & Chief Operating Officercontrolsince 08/2015 · owns less than 5%
- D• A••••••••• A•••••••• F•••••• X••••• · Ownercontrolsince 06/2014 · owns 75% or more of M••• C•••••• G•••• H•••••• L•••
Entity owners
- M••• C•••••• G•••• H•••••• L••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••• G•••••• P•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 28, 2022 to Mar 28, 2023
- Advisory employees · 5 to 3Mar 28, 2022 to Mar 28, 2023
- Charity clients · 0.0 to unsetMar 28, 2022 to Mar 28, 2023
- HNW clients · 1.0 to unsetMar 28, 2022 to Mar 28, 2023
- Individual clients · 0.0 to unsetMar 28, 2022 to Mar 28, 2023
- Pension plan clients · 0.0 to unsetMar 28, 2022 to Mar 28, 2023
- Assets in custody · $323M to $253MMar 28, 2022 to Mar 28, 2023
- Employees · 10 to 8Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $323M to $253MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · 98335285.0 to unsetMar 28, 2022 to Mar 28, 2023
- Individual RAUM · 0.0 to unsetMar 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $98.3M to $0Mar 28, 2022 to Mar 28, 2023
- Pension RAUM · 0.0 to unsetMar 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $323M to $253MMar 28, 2022 to Mar 28, 2023
- RAUM · $422M to $253MMar 28, 2022 to Mar 28, 2023
- Advisory employees · 6 to 5Mar 30, 2021 to Mar 28, 2022
- Assets in custody · $288M to $323MMar 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $288M to $323MMar 30, 2021 to Mar 28, 2022
- HNW RAUM · $65.8M to $98.3MMar 30, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $65.8M to $98.3MMar 30, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $288M to $323MMar 30, 2021 to Mar 28, 2022
- RAUM · $354M to $422MMar 30, 2021 to Mar 28, 2022
- Corporate clients · 0 to 1Jul 31, 2020 to Mar 30, 2021
- Assets in custody · $250M to $288MJul 31, 2020 to Mar 30, 2021
- Employees · 9 to 10Jul 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $250M to $288MJul 31, 2020 to Mar 30, 2021
- HNW RAUM · $71.1M to $65.8MJul 31, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $71.1M to $65.8MJul 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $250M to $288MJul 31, 2020 to Mar 30, 2021
- RAUM · $321M to $354MJul 31, 2020 to Mar 30, 2021
- Advisory employees · 5 to 6Mar 28, 2019 to Mar 27, 2020
- Assets in custody · $231M to $250MMar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $231M to $250MMar 28, 2019 to Mar 27, 2020
- HNW RAUM · $39.3M to $71.1MMar 28, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $39.3M to $71.1MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $231M to $250MMar 28, 2019 to Mar 27, 2020
- RAUM · $271M to $321MMar 28, 2019 to Mar 27, 2020
- Assets in custody · $236M to $231MDec 5, 2018 to Mar 28, 2019
- Discretionary RAUM · $236M to $231MDec 5, 2018 to Mar 28, 2019
- HNW RAUM · $62.5M to $39.3MDec 5, 2018 to Mar 28, 2019
Signals
3 dated events
- M••• C•••••• G•••• I••• reported RAUM $252.7M, down 40% from $421.6M (2022-03-28 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- J••• F•••••• F••••••• De M•••••• E S•••• (President) appeared on Schedule A of M••• C•••••• G•••• I•••Mar 28, 2022 · Control person joined · fact
- M••• C•••••• G•••• I••• filed its initial SEC registration (Form ADV)Mar 6, 2018 · 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