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••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 297219SEC 801-113415IAPD
Latest filing Mar 31, 2022
First filing on the tape May 11, 2018 · 18 filings
RAUM
$11.9M
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
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$11.9M as of Mar 31, 2022
Feb 26, 2019$99.1M then
HNW client RAUM$0 as of Mar 31, 2022
Feb 26, 2019$57.2M then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Feb 26, 20191 then
Employees (5.A)2 as of Mar 31, 2022
Feb 26, 20193 then
Private funds: no history
RAUM -39% over the last fiscal year-51% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$282,598derivedRAUM 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
-39%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$11.9M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
42reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • D••••••• L••••• D•••• · Partnercontrol
        since 02/2018 · owns 50% to 75%
      • D••••••• L••••• D•••• · Partnercontrol
        since 01/2018 · owns 25% to 50% of Z•••••• H•••••••• L••
      • A•••• J•••••• P•••••• · Cco
        since 07/2020 · owns less than 5%
      Entity owners
      • Z•••••• H•••••••• L•• · Partner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list M•••• C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 103 to 42
        Apr 27, 2021 to Mar 31, 2022
      • Advisory employees · 1 to 0
        Apr 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $19.4M to $11.9M
        Apr 27, 2021 to Mar 31, 2022
      • RAUM · $19.4M to $11.9M
        Apr 27, 2021 to Mar 31, 2022
      • Accounts · 111 to 103
        Jul 29, 2020 to Mar 31, 2021
      • Employees · 3 to 2
        Jul 29, 2020 to Mar 31, 2021
      • Insurance-licensed employees · 0 to 2
        Jul 29, 2020 to Mar 31, 2021
      • State-registered IARs · 1 to 0
        Jul 29, 2020 to Mar 31, 2021
      • Discretionary RAUM · $17.7M to $19.4M
        Jul 29, 2020 to Mar 31, 2021
      • RAUM · $17.7M to $19.4M
        Jul 29, 2020 to Mar 31, 2021
      • Individual clients · 80 to 0
        Mar 31, 2020 to Jul 29, 2020
      • Individual RAUM · $17.7M to $0
        Mar 31, 2020 to Jul 29, 2020
      • Accounts · 234 to 111
        Mar 10, 2020 to Mar 31, 2020
      • HNW clients · 2 to 0
        Mar 10, 2020 to Mar 31, 2020
      • Individual clients · unset to 80.0
        Mar 10, 2020 to Mar 31, 2020
      • Discretionary RAUM · $99.1M to $17.7M
        Mar 10, 2020 to Mar 31, 2020
      • HNW RAUM · $57.2M to $0
        Mar 10, 2020 to Mar 31, 2020
      • Individual RAUM · unset to 17657803.0
        Mar 10, 2020 to Mar 31, 2020
      • RAUM · $99.1M to $17.7M
        Mar 10, 2020 to Mar 31, 2020
      • Related broker-dealer · false to true
        Sep 26, 2019 to Jan 7, 2020
      • Wrap assets (manager) · 0.0 to unset
        Feb 26, 2019 to Sep 26, 2019
      • Wrap assets (sponsor) · 0.0 to unset
        Feb 26, 2019 to Sep 26, 2019
      • Accounts · 11 to 234
        Jan 3, 2019 to Feb 26, 2019
      • Advisory activities · 2 to 3
        Jan 3, 2019 to Feb 26, 2019
      • BD registered reps · 0 to 1
        Jan 3, 2019 to Feb 26, 2019
      • HNW clients · 9 to 2
        Jan 3, 2019 to Feb 26, 2019
      • Insurance-licensed employees · 1 to 0
        Jan 3, 2019 to Feb 26, 2019
      • Discretionary RAUM · $159M to $99.1M
        Jan 3, 2019 to Feb 26, 2019
      • HNW RAUM · $59.2M to $57.2M
        Jan 3, 2019 to Feb 26, 2019
      • RAUM · $159M to $99.1M
        Jan 3, 2019 to Feb 26, 2019
      • HQ city · RALEIGH to CHARLOTTE
        Jan 3, 2019 to Jan 3, 2019
      • Other offices · 1 to 0
        Jan 3, 2019 to Jan 3, 2019
      • Accounts · 0 to 11
        Aug 1, 2018 to Oct 18, 2018
      • Advisory activities · 1 to 2
        Aug 1, 2018 to Oct 18, 2018
      • HNW clients · 0 to 9
        Aug 1, 2018 to Oct 18, 2018
      • Individual clients · 0.0 to unset
        Aug 1, 2018 to Oct 18, 2018
      • Employees · 1 to 3
        Aug 1, 2018 to Oct 18, 2018
      • Discretionary RAUM · $0 to $159M
        Aug 1, 2018 to Oct 18, 2018
      • HNW RAUM · $0 to $59.2M
        Aug 1, 2018 to Oct 18, 2018
      • Individual RAUM · 0.0 to unset
        Aug 1, 2018 to Oct 18, 2018
      Signals
      7 dated events
      • Margaret Sarah Westbrook (Chief Compliance Officer) no longer on Schedule A of M•••• C••••••• L•• (listed 2020-01-07, absent 2020-03-10)
        Mar 10, 2020 · Control person left · inference
      • Randall Jeffrey Hines (Managing Member) no longer on Schedule A of M•••• C••••••• L•• (listed 2019-02-26, absent 2019-09-26)
        Sep 26, 2019 · Control person left · inference
      • Michael Justin Hines (Managing Director) no longer on Schedule A of M•••• C••••••• L•• (listed 2019-01-03, absent 2019-01-03)
        Jan 3, 2019 · Control person left · inference
      • Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of M•••• C••••••• L•• (listed 2019-01-03, absent 2019-01-03)
        Jan 3, 2019 · Control person left · inference
      • Randall Jeffrey Hines (Managing Member) appeared on Schedule A of M•••• C••••••• L••
        Jan 3, 2019 · Control person joined · fact
      • Margaret Sarah Westbrook (Chief Compliance Officer) appeared on Schedule A of M•••• C••••••• L••
        Jan 3, 2019 · Control person joined · fact
      • M•••• C••••••• L•• filed its initial SEC registration (Form ADV)
        May 11, 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