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
M•••••• C•••••• L••
Latest filing Mar 24, 2026
First filing on the tape Sep 29, 2021 · 15 filings
SEC status approved since Oct 29, 2021
RAUM
$65.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$65.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$21.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$65.0M as of Mar 24, 2026
Feb 16, 2022$33.0M then
HNW client RAUM$35.0M as of Mar 24, 2026
Feb 16, 2022$33.0M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Feb 16, 20221 then
Employees (5.A)3 as of Mar 24, 2026
Feb 16, 20221 then
Private funds: no history
RAUM -7.1% over the last fiscal year+27% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $21.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$35.0M54%
- Individuals$30.0M46%
- Individual clients
- 30reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 38reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•••••• | New York, Ny | Oct 30, 2021 | 16 y | 0 |
| L•••• T••••• H•••• | Cicero, Ny | May 24, 2023 | 22 y | 0 |
| J••• E••••• L••••• | New York, Ny | Jun 26, 2023 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- R••••••• M••••••• P•••• · Managing Member/Chief Compliance Officercontrolsince 02/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 100.0% to 54.0% between the annual amendments of 2025-03-20 and 2026-03-24peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 33 to 38Mar 20, 2025 to Mar 24, 2026
- HNW clients · 33 to 8Mar 20, 2025 to Mar 24, 2026
- Individual clients · 0 to 30Mar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $70.0M to $65.0MMar 20, 2025 to Mar 24, 2026
- HNW RAUM · $70.0M to $35.0MMar 20, 2025 to Mar 24, 2026
- Individual RAUM · $0 to $30.0MMar 20, 2025 to Mar 24, 2026
- RAUM · $70.0M to $65.0MMar 20, 2025 to Mar 24, 2026
- Accounts · 43 to 33Mar 21, 2024 to Mar 20, 2025
- HNW clients · 43 to 33Mar 21, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $30.0M to $70.0MMar 21, 2024 to Mar 20, 2025
- HNW RAUM · $30.0M to $70.0MMar 21, 2024 to Mar 20, 2025
- RAUM · $30.0M to $70.0MMar 21, 2024 to Mar 20, 2025
- Accounts · 27 to 43Jul 12, 2023 to Mar 20, 2024
- HNW clients · 27 to 43Jul 12, 2023 to Mar 20, 2024
- Discretionary RAUM · $32.0M to $30.0MJul 12, 2023 to Mar 20, 2024
- HNW RAUM · $32.0M to $30.0MJul 12, 2023 to Mar 20, 2024
- RAUM · $32.0M to $30.0MJul 12, 2023 to Mar 20, 2024
- Advisory employees · 2 to 3Jul 5, 2023 to Jul 12, 2023
- Employees · 2 to 3Jul 5, 2023 to Jul 12, 2023
- State-registered IARs · 2 to 3Jul 5, 2023 to Jul 12, 2023
- Advisory employees · 1 to 2Feb 7, 2023 to Jul 5, 2023
- Employees · 1 to 2Feb 7, 2023 to Jul 5, 2023
- State-registered IARs · 1 to 2Feb 7, 2023 to Jul 5, 2023
- Accounts · 33 to 27Jun 10, 2022 to Feb 7, 2023
- HNW clients · 33 to 27Jun 10, 2022 to Feb 7, 2023
- Discretionary RAUM · $33.0M to $32.0MJun 10, 2022 to Feb 7, 2023
- HNW RAUM · $33.0M to $32.0MJun 10, 2022 to Feb 7, 2023
- RAUM · $33.0M to $32.0MJun 10, 2022 to Feb 7, 2023
- Accounts · 29 to 33Dec 3, 2021 to Feb 16, 2022
- Charity clients · unset to 0.0Dec 3, 2021 to Feb 16, 2022
- Corporate clients · unset to 0.0Dec 3, 2021 to Feb 16, 2022
- HNW clients · 25 to 33Dec 3, 2021 to Feb 16, 2022
- Individual clients · 4 to 0Dec 3, 2021 to Feb 16, 2022
- Pension plan clients · unset to 0.0Dec 3, 2021 to Feb 16, 2022
- Pooled vehicle clients · unset to 0.0Dec 3, 2021 to Feb 16, 2022
- Discretionary RAUM · $25.1M to $33.0MDec 3, 2021 to Feb 16, 2022
- HNW RAUM · $24.7M to $33.0MDec 3, 2021 to Feb 16, 2022
- Individual RAUM · $350,000 to $0Dec 3, 2021 to Feb 16, 2022
- Pension RAUM · unset to 0.0Dec 3, 2021 to Feb 16, 2022
Signals
1 dated events
- M•••••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 2021 · 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
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-624-5589reportedpublic record, Form ADV, Mar 24, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026