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••••• S••••• C•••••• L••
Latest filing Mar 30, 2021
First filing on the tape Dec 19, 2018 · 7 filings
RAUM
$122M
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
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$122M gross assets
History
7 filings and snapshots on the tape
RAUM$122M as of Mar 30, 2021
Mar 25, 2020$110M then
HNW client RAUM$0 as of Mar 30, 2021
Mar 25, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 25, 20200 then
Employees (5.A)4 as of Mar 30, 2021
Mar 25, 20204 then
Private funds1 as of Mar 30, 2021
Mar 25, 20201 then
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
- $40.7MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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
- $121M, 3 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$122M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $121M 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••••• S••••• I••••••••• S••••••••• M••••• F•••• L••• | Hedge Fund | $122M | 1 | Jun 7, 2019 |
Owners and control persons
Schedule A and B, latest filing
- K•••••••• S••••••• A•••• · Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
- M•••••• C••••••••• S••• · Chief Financial Officercontrolsince 11/2018 · owns less than 5%
- P•••••• R••••••• E••• C•••••• · Presidentcontrolsince 11/2018 · owns less than 5%
- S•••• S•••••• · Chief Executive Officercontrolsince 11/2018 · owns less than 5%
- P•••••• R••••••• E••• C•••••• · Member (Class A)controlsince 06/2014 · owns 50% to 75% of R••••• H••••••• L••
- S•••• S•••••• · Member (Class A)controlsince 06/2014 · owns 50% to 75% of R••••• H••••••• L••
Entity owners
- M••••• S••••• C•••••• G•• L•• · Managing Memberdirect · owns 75% or more
- L••• G• L•• · General Partnerindirect · owns 75% or more of L••• J• L•
- L••• G• L•• · General Partnerindirect · owns F of L••• T•••• L•
- L••• H••••••• I••• · Shareholderindirect · owns 75% or more of L••• P•••••••• I•••
- L••• J• L• · Limited Partnerindirect · owns 75% or more of L••• T•••• L•
- L••• P•••••••• I••• · Shareholderindirect · owns 75% or more of V••• C••••••• I•••
- L••• T•••• L• · Shareholderindirect · owns 75% or more of L••• H••••••• I•••
- R•• L••• C•••••••• G• L•• · General Partnerindirect · owns F of R•• L••• C••••••••• L•••
- R•• L••• C••••••••• L••• · Co-Managing Memberindirect · owns 50% to 75% of L••• G• L••
- R•• L••• C••••••••• L••• · Limited Partnerindirect · owns 50% to 75% of L••• J• L•
- R•• O•• F••• I• G•• L••• · Memberindirect · owns F of R•• L••• C•••••••• G• L••
- R•••••• L••• B••••••• T•••• · Limited Partnerindirect · owns 50% to 75% of L••• J• L•
- R•••••• V••• C•••••••• G••••• L•• · Co-Managing Memberindirect · owns 50% to 75% of L••• G• L••
- R•••••• V••• C•••••••• G••••• L•• · Trusteeindirect · owns F of R•••••• L••• B••••••• T••••
- R•••••••• C•••••• P••••••• O••••••••• F••• I•• L••• · Limited Partnerindirect · owns 25% to 50% of R•• L••• C••••••••• L•••
- R••••• H••••••• L•• · Co-Managing Memberindirect · owns 50% to 75% of M••••• S••••• C•••••• G•• L••
- V••• C••••••• I••• · Co-Managing Memberindirect · owns 50% to 75% of M••••• S••••• C•••••• G•• L••
Related persons
Schedule D 7.A
- M••••• S••••• C•••••• G•• L••pooled vehicle sponsory
- R••••• S••••••••• L••broker-dealern
- Obra Capital Management, LLC.investment advisernRAUM $5.7B
Offices
Schedule D 1.F, the 25 largest
- Ardmore, PA4 employees
What changed
consecutive filings, newest first
- Assets in custody · $99.7M to $121MMar 25, 2020 to Mar 30, 2021
- Discretionary RAUM · $110M to $122MMar 25, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $110M to $122MMar 25, 2020 to Mar 30, 2021
- RAUM · $110M to $122MMar 25, 2020 to Mar 30, 2021
- Advisory employees · 3 to 4Nov 8, 2019 to Mar 25, 2020
- Assets in custody · $22.2M to $99.7MNov 8, 2019 to Mar 25, 2020
- Employees · 3 to 4Nov 8, 2019 to Mar 25, 2020
- Discretionary RAUM · $151M to $110MNov 8, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $151M to $110MNov 8, 2019 to Mar 25, 2020
- RAUM · $151M to $110MNov 8, 2019 to Mar 25, 2020
- Accounts · 0 to 3Mar 1, 2019 to Jun 7, 2019
- Pooled vehicle clients · 0 to 3Mar 1, 2019 to Jun 7, 2019
- Assets in custody · unset to 22245000.0Mar 1, 2019 to Jun 7, 2019
- Custody of client assets · false to trueMar 1, 2019 to Jun 7, 2019
- Private funds · unset to 1Mar 1, 2019 to Jun 7, 2019
- Discretionary RAUM · $0 to $151MMar 1, 2019 to Jun 7, 2019
- Pooled vehicle RAUM · $0 to $151MMar 1, 2019 to Jun 7, 2019
- RAUM · $0 to $151MMar 1, 2019 to Jun 7, 2019
- Advisory employees · 4 to 3Dec 19, 2018 to Feb 26, 2019
- Employees · 4 to 3Dec 19, 2018 to Feb 26, 2019
Signals
2 dated events
- Allan Stephen Kirkwood (Chief Compliance Officer) appeared on Schedule A of M••••• S••••• C•••••• L••Feb 26, 2019 · Control person joined · fact
- M••••• S••••• C•••••• L•• filed its initial SEC registration (Form ADV)Dec 19, 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