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

G••• S••••• A•••• M•••••••••

Former SEC-registered adviserCharlotte, North CarolinaCRD 300673SEC 801-117217IAPD
Legal name M••••••• C••••• M••••••••• L••
Latest filing Oct 5, 2023
First filing on the tape Jul 23, 2019 · 9 filings
RAUM
$2.6B
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
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$2.6B gross assets
History
9 filings and snapshots on the tape
RAUM$2.6B as of Mar 14, 2023
Mar 6, 2020$540M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2023
Mar 6, 20200 then
Employees (5.A)14 as of Mar 14, 2023
Mar 6, 202012 then
Private funds6 as of Mar 14, 2023
Mar 6, 20202 then
RAUM +4.3% over the last fiscal year+69% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 5, 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
$437MderivedRAUM 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
+4.3%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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.6B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• S••••• M••••••• 2• L••no longer reportedSecuritized Asset Fund$441M13May 23, 2019
      G••• S••••• M••••••• S••••••• L••no longer reportedSecuritized Asset Fund$23.2M1Mar 15, 2021
      G••• S••••• M••••••• M••••• 2• L••no longer reportedSecuritized Asset Fund$10.0M1Mar 29, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• M•••• B•••••• · Chief Executive Officer And Presidentcontrol
        since 06/2015 · owns 75% or more
      • T•••••• W••••••• J•••••• · Chief Compliance Officercontrol
        since 04/2019 · owns less than 5%
      • K••••••••• S•••••• B••••• · Chief Financial Officer
        since 04/2019 · owns less than 5%
      Entity owners
      • R•••••• R•••• I••••••••• S••••••••• L•• · Member
        direct · owns 10% to 25%
      • A•• H••••••• •••••••• L••• · Sole Member
        indirect · owns 75% or more of A••••• M••••••••• H•••••••• L•••
      • A•• C••• · Limited Partner
        indirect · owns 50% to 75% of A•• H••••••• •••••••• L•••
      • A••••• A•••• M••••••••• I••• · Sole Member
        indirect · owns 75% or more of A•• C•••
      • A••••• C•••••• M••••••••• L••• · Sole Member/Manager
        indirect · owns 75% or more of A••••• S••••••••• C••••• R••••••• M••••••••• I• L••
      • A••••• G••••• M••••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of A••••• A•••• M••••••••• I••• · public reporting company
      • A••••• M••••••••• H•••••••• L••• · Sole Member
        indirect · owns 75% or more of A••••• C•••••• M••••••••• L•••
      • A••••• S••••••••• C••••• R••••••• M••••••••• I• L•• · Investment Manager
        indirect · owns 75% or more of A••••• S••••••••• C••••• R••••••• M••••• F••• I• L•
      • A••••• S••••••••• C••••• R••••••• M••••• F••• I• L• · Indirect Owner
        indirect · owns 25% to 50% of R•••••• R•••• H•••••••• L•
      • R•••••• R•••• H•••••••• L• · Sole Member
        indirect · owns 75% or more of R•••••• R•••• I••••••••• L••
      • R•••••• R•••• I••••••••• L•• · Sole Member
        indirect · owns 75% or more of R•••••• R•••• I••••••••• S••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Jun 1, 2022 to Mar 14, 2023
      • Advisory employees · 13 to 12
        Jun 1, 2022 to Mar 14, 2023
      • Pooled vehicle clients · 7 to 6
        Jun 1, 2022 to Mar 14, 2023
      • Private funds · 7 to 6
        Jun 1, 2022 to Mar 14, 2023
      • Discretionary RAUM · $2.5B to $2.6B
        Jun 1, 2022 to Mar 14, 2023
      • Pooled vehicle RAUM · $2.5B to $2.6B
        Jun 1, 2022 to Mar 14, 2023
      • RAUM · $2.5B to $2.6B
        Jun 1, 2022 to Mar 14, 2023
      • Accounts · 4 to 7
        Mar 15, 2021 to Mar 29, 2022
      • Advisory employees · 10 to 13
        Mar 15, 2021 to Mar 29, 2022
      • Pooled vehicle clients · 4 to 7
        Mar 15, 2021 to Mar 29, 2022
      • Employees · 12 to 14
        Mar 15, 2021 to Mar 29, 2022
      • Private funds · 4 to 7
        Mar 15, 2021 to Mar 29, 2022
      • Discretionary RAUM · $1.3B to $2.5B
        Mar 15, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $1.3B to $2.5B
        Mar 15, 2021 to Mar 29, 2022
      • RAUM · $1.3B to $2.5B
        Mar 15, 2021 to Mar 29, 2022
      • Accounts · 2 to 4
        Mar 12, 2020 to Mar 15, 2021
      • Pooled vehicle clients · 2 to 4
        Mar 12, 2020 to Mar 15, 2021
      • Private funds · 2 to 4
        Mar 12, 2020 to Mar 15, 2021
      • Discretionary RAUM · $540M to $1.3B
        Mar 12, 2020 to Mar 15, 2021
      • Pooled vehicle RAUM · $540M to $1.3B
        Mar 12, 2020 to Mar 15, 2021
      • RAUM · $540M to $1.3B
        Mar 12, 2020 to Mar 15, 2021
      • Advisory employees · 6 to 10
        Jul 23, 2019 to Mar 6, 2020
      • Advisory activities · 2 to 1
        Jul 23, 2019 to Mar 6, 2020
      • Employees · 7 to 12
        Jul 23, 2019 to Mar 6, 2020
      • Private funds · 4 to 2
        Jul 23, 2019 to Mar 6, 2020
      • Discretionary RAUM · $164M to $540M
        Jul 23, 2019 to Mar 6, 2020
      • Pooled vehicle RAUM · $164M to $540M
        Jul 23, 2019 to Mar 6, 2020
      • RAUM · $164M to $540M
        Jul 23, 2019 to Mar 6, 2020
      Signals
      4 dated events
      • G••• S••••• A•••• M••••••••• reported RAUM $2.5B, up 91% from $1.3B (2021-03-15 to 2022-03-29)
        Mar 29, 2022 · RAUM change · derived
      • G••• S••••• A•••• M••••••••• reported RAUM $1.3B, up 144% from $539.6M (2020-03-12 to 2021-03-15)
        Mar 15, 2021 · RAUM change · derived
      • G••• S••••• A•••• M••••••••• reported RAUM $539.6M, up 229% from $164.0M (2019-07-23 to 2020-03-06)
        Mar 6, 2020 · RAUM change · derived
      • G••• S••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Jul 23, 2019 · 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