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••• S••••• A•••••••
Legal name M•• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 25, 2019 · 15 filings
SEC status approved since Aug 22, 2019
RAUM
$9.6B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
74%
$7.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
34
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$9.6B as of Mar 27, 2026
Mar 30, 2020$5.2B then
HNW client RAUM$7.1B as of Mar 27, 2026
Mar 30, 2020$3.3B then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20202 then
Employees (5.A)34 as of Mar 27, 2026
Mar 30, 202016 then
Private funds6 as of Mar 27, 2026
Mar 30, 202076 then
RAUM +10% over the last fiscal year+6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $105MderivedHNW RAUM over HNW clients
- Average account
- $77.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 7.7%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
- +10%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $6.1B, 77 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.1B74%
- Pooled investment vehicles$1.8B18%
- State and municipal entities$691M7.2%
- Charitable organizations$47.6M0.5%
- Individual clients
- n/areported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 125reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.1B for 77 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.18 institutional_share=0.08 related_bd=true related_bank=true bd_reps=6.0 bank_owner=falsederived
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
138 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• A••••••••• P•••••••• L••• | Private Equity Fund | $1.3B | 134 | Mar 31, 2022 |
| M•• R••• L•no longer reported | Other Private Fund | $447M | 1 | Mar 28, 2019 |
| 1••• U••••••••• F••• L•no longer reported | Private Equity Fund | $374M | 2 | Mar 28, 2019 |
| A••••••••• I•••••••• L•no longer reported | Other Private Fund | $367M | 1 | Mar 30, 2020 |
| M•• B••••• L•no longer reported | Other Private Fund | $236M | 1 | Mar 31, 2022 |
| M•• E••••••••• L• | Private Equity Fund | $234M | 63 | Mar 30, 2017 |
| M•• Y••••• W•• L•no longer reported | Other Private Fund | $205M | 1 | Mar 28, 2019 |
| M•• • A•• I•••••••• L•no longer reported | Private Equity Fund | $185M | 50 | Mar 31, 2023 |
| A• 2••••••• I•••••••• L•no longer reported | Other Private Fund | $175M | 1 | Mar 31, 2022 |
| M•• C•••• B•••• I••••••••• L•no longer reported | Private Equity Fund | $167M | 38 | Mar 30, 2020 |
| M•• B••••• L•no longer reported | Other Private Fund | $158M | 1 | Mar 28, 2019 |
| A•••••••• I•••••••• L•no longer reported | Other Private Fund | $130M | 1 | Mar 30, 2020 |
| M•• M•••••• R•• L••no longer reported | Private Equity Fund | $126M | 41 | Mar 28, 2019 |
| M•• C••••••••• P••••••• L•• | Hedge Fund | $122M | 22 | Mar 29, 2024 |
| M•• R•• I• L•no longer reported | Other Private Fund | $112M | 1 | Mar 31, 2023 |
| 2• S•••••• L•no longer reported | Venture Capital Fund | $95.0M | 55 | Mar 31, 2021 |
| T•••••• I•••••••• L•no longer reported | Other Private Fund | $88.2M | 1 | Mar 31, 2023 |
| M•• S••••• I•••••••• L••no longer reported | Private Equity Fund | $88.0M | 37 | Mar 28, 2013 |
| M•• I••• I•••••••• L•no longer reported | Other Private Fund | $83.4M | 1 | Mar 28, 2019 |
| M•• A••••• I••••••••• L•••no longer reported | Private Equity Fund | $60.7M | 31 | Mar 28, 2019 |
| M•• A••••• I•• I•••••••• L•no longer reported | Private Equity Fund | $60.5M | 22 | Mar 31, 2021 |
| T• E•••••••• L••no longer reported | Venture Capital Fund | $58.3M | 1 | Mar 28, 2019 |
| M•• G•• I• I••••••••• L•no longer reported | Private Equity Fund | $55.6M | 30 | Mar 30, 2018 |
| M•• I••••••••• F••• N••• L•no longer reported | Private Equity Fund | $52.5M | 23 | Mar 30, 2018 |
| M•• L•••••••• H••••••••• L•no longer reported | Real Estate Fund | $52.1M | 24 | Mar 31, 2022 |
| M•• W••• S••• I•••••••• L•no longer reported | Real Estate Fund | $50.3M | 26 | Mar 29, 2016 |
| M•• Q••••••• I•••••••• L• | Other Private Fund | $49.6M | 21 | Mar 29, 2012 |
| M•• E••• B•• I••••••••• L•no longer reported | Real Estate Fund | $45.8M | 3 | Mar 28, 2019 |
| M•• C••••• V••• L•no longer reported | Private Equity Fund | $45.8M | 40 | Mar 30, 2020 |
| M•• A••• I• I•••••••• L•no longer reported | Private Equity Fund | $45.6M | 28 | Mar 31, 2023 |
| M•• V•••••••• L•no longer reported | Other Private Fund | $45.4M | 1 | Mar 28, 2019 |
| M•• O••••••• L•no longer reported | Private Equity Fund | $44.9M | 17 | Mar 30, 2020 |
| M•• C••••••••• P••••••• I•• L•no longer reported | Private Equity Fund | $44.3M | 30 | Mar 29, 2016 |
| M•• T••••••• I•••••••• L•no longer reported | Real Estate Fund | $42.7M | 8 | Mar 31, 2021 |
| M•• S••••• G••• I•••••••• L•no longer reported | Real Estate Fund | $42.6M | 25 | Mar 30, 2020 |
| M•• 8• S•••••• L••no longer reported | Venture Capital Fund | $39.2M | 3 | Mar 28, 2019 |
| B••••• I•••••••• L•no longer reported | Other Private Fund | $38.8M | 1 | Mar 31, 2021 |
| M•• G•••••• I•••••••• I• L•no longer reported | Private Equity Fund | $37.5M | 32 | Mar 31, 2023 |
| M•• L••••• I•••••••• L•no longer reported | Private Equity Fund | $35.7M | 26 | Mar 27, 2015 |
| M•• A••••• I•••••••• L•no longer reported | Private Equity Fund | $34.2M | 19 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••••• D•••••• · Pres•••Ntcontrolsince 12/2023 · owns less than 5%
- F••••• C••••••••• M••• · Vice Chairmancontrolsince 02/1997 · owns less than 5%
- P••••• J••••• B•••••• · Chief Financial Officercontrolsince 07/2014 · owns less than 5%
- R••••• T•••• J•••••• · General Counselcontrolsince 10/2018 · owns less than 5%
- S••••• J•••••• B•••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- W••••••• P•••• D•••• · Chief Executive Officercontrolsince 02/1997 · owns less than 5%
- W••••••• P•••• D•••• · Shareholdercontrolsince 09/2018 · owns 75% or more of M•• H•••••••• I•••
Entity owners
- M•• A•••••••• L• · Managing Memberdirect · owns 75% or more
- M•••• M••••••• H•• T•••••• L•• · T••••••indirect · owns F of M•••• M••••••• H•• A••••••••• T••••
- M•• A••••••• G•• L•• · General Partnerindirect · owns F of M•• A•••••••• L•
- M•• H•••••••• I••• · Managing Memberindirect · owns 75% or more of M•• A••••••• G•• L••
- M•••• M••••••• H•• A••••••••• · Memberdirect · owns 10% to 25%
- M•••• M••••••• H•• A••••••••• T•••• · Memberdirect · owns 10% to 25%
- M•• H•••••••• I••• · Limited Partnerindirect · owns 75% or more of M•• A•••••••• L•
Related persons
Schedule D 7.A
- M•• A••••••••• G•• L••bankpooled vehicle sponsory
- M•• E••••••••• G•• L••bankpooled vehicle sponsory
- M•• M•••••• X• L••pooled vehicle sponsory
- M•• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 27, 2026RAUM per account of $77,176,151 against a peer median of $1,534,512 (282 comparable advisers, 99.0th percentile, 47.1 robust deviations)peers: independent wealth managers, $5B to $20B (282) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 121 to 125Apr 15, 2025 to Mar 27, 2026
- Advisory employees · 15 to 17Apr 15, 2025 to Mar 27, 2026
- BD registered reps · 3 to 6Apr 15, 2025 to Mar 27, 2026
- HNW clients · 67 to 68Apr 15, 2025 to Mar 27, 2026
- Assets in custody · $5.5B to $6.1BApr 15, 2025 to Mar 27, 2026
- Employees · 28 to 34Apr 15, 2025 to Mar 27, 2026
- Discretionary RAUM · $6.5B to $7.0BApr 15, 2025 to Mar 27, 2026
- HNW RAUM · $6.5B to $7.1BApr 15, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.2B to $2.6BApr 15, 2025 to Mar 27, 2026
- Pension RAUM · $19,631 to $0Apr 15, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.6B to $1.8BApr 15, 2025 to Mar 27, 2026
- RAUM · $8.7B to $9.6BApr 15, 2025 to Mar 27, 2026
- Accounts · 116 to 121Jun 28, 2024 to Apr 15, 2025
- BD registered reps · 2 to 3Jun 28, 2024 to Apr 15, 2025
- HNW clients · 64 to 67Jun 28, 2024 to Apr 15, 2025
- Assets in custody · $5.9B to $5.5BJun 28, 2024 to Apr 15, 2025
- Employees · 26 to 28Jun 28, 2024 to Apr 15, 2025
- Financial planning clients · 0 to 0Jun 28, 2024 to Apr 15, 2025
- State-registered IARs · 2 to 0Jun 28, 2024 to Apr 15, 2025
- Discretionary RAUM · $5.9B to $6.5BJun 28, 2024 to Apr 15, 2025
- HNW RAUM · $6.2B to $6.5BJun 28, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $2.2B to $2.2BJun 28, 2024 to Apr 15, 2025
- Pension RAUM · $7.5M to $19,631Jun 28, 2024 to Apr 15, 2025
- Pooled vehicle RAUM · $1.6B to $1.6BJun 28, 2024 to Apr 15, 2025
- RAUM · $8.1B to $8.7BJun 28, 2024 to Apr 15, 2025
- Accounts · 194 to 116Jul 12, 2023 to Mar 29, 2024
- BD registered reps · 3 to 2Jul 12, 2023 to Mar 29, 2024
- HNW clients · 58 to 64Jul 12, 2023 to Mar 29, 2024
- Pooled vehicle clients · 99 to 6Jul 12, 2023 to Mar 29, 2024
- Assets in custody · $6.0B to $5.9BJul 12, 2023 to Mar 29, 2024
- Employees · 27 to 26Jul 12, 2023 to Mar 29, 2024
- Private funds · 123 to 6Jul 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.0B to $5.9BJul 12, 2023 to Mar 29, 2024
- HNW RAUM · $4.1B to $6.2BJul 12, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $2.0B to $2.2BJul 12, 2023 to Mar 29, 2024
- Pension RAUM · $0 to $7.5MJul 12, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.5B to $1.6BJul 12, 2023 to Mar 29, 2024
- RAUM · $7.9B to $8.1BJul 12, 2023 to Mar 29, 2024
- Related adviser · true to falseJul 12, 2023 to Mar 29, 2024
- Accounts · 180 to 194Jan 11, 2023 to Mar 31, 2023
Signals
10 dated events
- Daniela Christine Banian (Chief Operating Officer) appeared on Schedule A of M••• S••••• A•••••••Mar 29, 2024 · Control person joined · fact
- Brian Jeremy Szuch (Chief Compliance Officer) appeared on Schedule A of M••• S••••• A•••••••Jul 12, 2023 · Control person joined · fact
- Dang Khoa Le (Chief Compliance Officer) no longer on Schedule A of M••• S••••• A••••••• (listed 2022-04-27, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- M••• S••••• A••••••• reported RAUM $8.6B, up 41% from $6.1B (2021-09-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Dang Khoa Le (Chief Compliance Officer) appeared on Schedule A of M••• S••••• A•••••••Mar 31, 2022 · Control person joined · fact
- Bertrum James Potts (Chief Financial Officer) appeared on Schedule A of M••• S••••• A•••••••Sep 8, 2021 · Control person joined · fact
- David Alexandre Cohen (Managing Director) no longer on Schedule A of M••• S••••• A••••••• (listed 2021-03-31, absent 2021-04-14)Apr 14, 2021 · Control person left · inference
- Mark Christopher Fillo (Chief Financial Officer) appeared on Schedule A of M••• S••••• A•••••••Mar 30, 2020 · Control person joined · fact
- M••• S••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 25, 2019 · Succession (Item 4) · fact
- M••• S••••• A••••••• filed its initial SEC registration (Form ADV)Jul 25, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••• S••••• A••••••• · Independent Sponsorsshared crd · capital_provider
- M••• S••••• A••••••• · Private Equityshared crd · organization
- M••• S••••• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- mainstreetadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-778-2200reportedpublic record, Form ADV, Mar 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
M••• S••••• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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