DFX Intelligence

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Former SEC-registered adviser

M•••••• A•••• M•••••••••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 298966SEC 801-114264IAPD

Legal name M•••••• A•••• M••••••••• L••

Latest filing Mar 17, 2020

First filing on the tape Oct 9, 2018 · 7 filings

RAUM

$151M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$166M gross assets

History

7 filings and snapshots on the tape

RAUM$151M as of Mar 17, 2020

Mar 5, 2019$101M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 17, 2020

Mar 5, 20190 then

Employees (5.A)10 as of Mar 17, 2020

Mar 5, 20199 then

Private funds2 as of Mar 17, 2020

Mar 5, 20191 then

RAUM +49% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 17, 2020; 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: $75.4MderivedRAUM 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: +49%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 assetsreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $149M, 2 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$151M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $149M for 2 clientsreported
Compensation: % of AUMreported
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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M•••••• A••••••••• B••• M••••• F•••• L•	Hedge Fund	$151M	3	May 29, 2018
M•••••• A••••••••• B••• F•••• L•••	Hedge Fund	$15.7M	1	Sep 20, 2019

Owners and control persons

Schedule A and B, latest filing

B•••••• J•••• M•••••• · Chief Executive Officer And Co-Chief Investment Officercontrol
since 07/2018 · owns 25% to 50%
J•••••• P•••••••• J•••••• · Co-Chief Investment Officercontrol
since 07/2018 · owns 10% to 25%
P••••••••• J•••••• F•••• · Chief Compliance Officercontrol
since 07/2018 · owns 10% to 25%
W•••••••• K••••• C••••••••• · Chief Financial Officercontrol
since 07/2018 · owns 5% to 10%
F••••••• E•••••••• · Member
since 07/2018 · owns 5% to 10%

Related persons

Schedule D 7.A

M•••••• A••••••••• B••• G•• L•••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $143M to $149M
Sep 20, 2019 to Mar 17, 2020
Discretionary RAUM · $144M to $151M
Sep 20, 2019 to Mar 17, 2020
Pooled vehicle RAUM · $144M to $151M
Sep 20, 2019 to Mar 17, 2020
RAUM · $144M to $151M
Sep 20, 2019 to Mar 17, 2020
Accounts · 1 to 2
Apr 29, 2019 to Sep 20, 2019
Pooled vehicle clients · 1 to 2
Apr 29, 2019 to Sep 20, 2019
Assets in custody · $101M to $143M
Apr 29, 2019 to Sep 20, 2019
Private funds · 1 to 2
Apr 29, 2019 to Sep 20, 2019
Discretionary RAUM · $101M to $144M
Apr 29, 2019 to Sep 20, 2019
Pooled vehicle RAUM · $101M to $144M
Apr 29, 2019 to Sep 20, 2019
RAUM · $101M to $144M
Apr 29, 2019 to Sep 20, 2019
Assets in custody · unset to 101386793.0
Mar 5, 2019 to Apr 29, 2019
Custody of client assets · false to true
Mar 5, 2019 to Apr 29, 2019
Employees · 9 to 10
Mar 5, 2019 to Apr 29, 2019
Advisory employees · 5 to 6
Jan 16, 2019 to Mar 5, 2019
Employees · 8 to 9
Jan 16, 2019 to Mar 5, 2019
Accounts · 0 to 1
Oct 9, 2018 to Jan 16, 2019
Pooled vehicle clients · unset to 1.0
Oct 9, 2018 to Jan 16, 2019
Employees · 7 to 8
Oct 9, 2018 to Jan 16, 2019
Private funds · unset to 1
Oct 9, 2018 to Jan 16, 2019
Discretionary RAUM · $0 to $101M
Oct 9, 2018 to Jan 16, 2019
Pooled vehicle RAUM · unset to 101386793.0
Oct 9, 2018 to Jan 16, 2019
RAUM · $0 to $101M
Oct 9, 2018 to Jan 16, 2019

Signals

1 dated events

M•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
Oct 9, 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