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•• I••••••••• •••• I•••
Latest filing Aug 28, 2026
First filing on the tape May 1, 2020 · 19 filings
SEC status approved since May 29, 2020
RAUM
$14B
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
47
21 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$14B as of Aug 28, 2026
Mar 19, 2021$926M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 19, 20210 then
Employees (5.A)47 as of Aug 28, 2026
Mar 19, 202117 then
Private funds: no history
RAUM -8.0% over the last fiscal year+6.4% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $1.6BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$14B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=true bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A••••••• G••••• · Director / President / Chief Investment Officercontrolsince 03/2020 · owns less than 5%
- M•••••••• N•••••••• R••••• · Directorcontrolsince 07/2019 · owns less than 5%
- Y••••••••• C••••••••• K•••• · Chief Compliance Officer / Head Of Legalcontrolsince 02/2022 · owns less than 5%
- Z•••••• N•••••• A•••••••• · Chief Operating Officercontrolsince 03/2019 · owns less than 5%
Entity owners
- M•• I••••••••• ••••••••• I••• · Parent Companydirect · owns 75% or more
- M•• F• L•••••• · Shareholderindirect · owns 75% or more of M•• I••••••••• ••••••••• I•••
- M•• G•••• L•••••• · Shareholderindirect · owns 75% or more of M•• F• L••••••
- M•• G•••• R•••••••• E••••• H•••••• C•••••• L•••••• · Shareholderindirect · owns 75% or more of M•• G•••• L••••••
- M•• P•• · Shareholderindirect · owns 75% or more of M•• G•••• R•••••••• E••••• H•••••• C•••••• L••••••
Related persons
Schedule D 7.A
- M•• ••••••••• L••investment advisern
- M•• A••••••••• I••••••••• M••••••••• L••••••investment advisern
- M•• F•••••••• S••••••••• L••investment advisern
- M•• G•••• P•• L••real estaten
- M•• I••••••••• M••••••••• L•••investment adviserbanknRAUM $400B
- M•• I••••••••• •••• K•••• L••investment advisern
- M•• I••••••••• ••••••••• P••• L•••investment advisern
- M•• I••••••••• ••••••• L••investment advisern
- M•• I••••••••• J•••• C••• L••investment advisern
- M•• L••••••••• S••investment advisern
- M•• R••• E••••• A••• P••• L••investment advisern
- M•• R••• E••••• F•••• M••••••••• S•••••••investment advisern
- M•• R••• E••••• J•••• C••• L•••investment advisern
- M•• R••• E••••• L••real estaten
- M•• S••••••••• L••investment advisern
- M•• S•• M••••••••• C•••••• •••••••• L••investment advisern
- M•••• I••••••••• M••••••• •••• L••investment advisern
- M•••• I••••••••• •••••••• •••• L••investment advisern
- M•••• I••••••••• L••• S•••• A••••• ••• L••investment advisern
- M•••• I••••••••• U••• T••••• •••••••• L••investment advisern
- M•••• I••••••••• U••• T••••• S•••• A••••• ••• L••investment advisern
- R••••••••• I••••••••• A•investment advisern
- T•• P••••••••• A•••••••• C•••••• L••••••real estaten
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
What changed
consecutive filings, newest first
- Advisory employees · 22 to 21Jun 3, 2025 to Mar 26, 2026
- Employees · 48 to 47Jun 3, 2025 to Mar 26, 2026
- Other offices · 1 to 2Jun 3, 2025 to Mar 26, 2026
- Discretionary RAUM · $16B to $14BJun 3, 2025 to Mar 26, 2026
- RAUM · $16B to $14BJun 3, 2025 to Mar 26, 2026
- Financial planning clients · unset to Apr 15, 2025 to Jun 3, 2025
- Accounts · 7 to 9Jun 28, 2024 to Apr 15, 2025
- Advisory employees · 19 to 22Jun 28, 2024 to Apr 15, 2025
- Employees · 25 to 48Jun 28, 2024 to Apr 15, 2025
- Discretionary RAUM · $15B to $16BJun 28, 2024 to Apr 15, 2025
- RAUM · $15B to $16BJun 28, 2024 to Apr 15, 2025
- Accounts · 5 to 7Aug 7, 2023 to Mar 29, 2024
- Advisory employees · 26 to 19Aug 7, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 0Aug 7, 2023 to Mar 29, 2024
- Employees · 30 to 25Aug 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $12B to $15BAug 7, 2023 to Mar 29, 2024
- RAUM · $12B to $15BAug 7, 2023 to Mar 29, 2024
- Accounts · 2 to 5Oct 5, 2022 to Mar 27, 2023
- Advisory employees · 19 to 26Oct 5, 2022 to Mar 27, 2023
- Pooled vehicle clients · 0 to 2Oct 5, 2022 to Mar 27, 2023
- Employees · 22 to 30Oct 5, 2022 to Mar 27, 2023
- Discretionary RAUM · $16B to $12BOct 5, 2022 to Mar 27, 2023
- RAUM · $16B to $12BOct 5, 2022 to Mar 27, 2023
- Advisory employees · 13 to 19Feb 1, 2022 to Mar 30, 2022
- Employees · 17 to 22Feb 1, 2022 to Mar 30, 2022
- Discretionary RAUM · $926M to $16BFeb 1, 2022 to Mar 30, 2022
- RAUM · $926M to $16BFeb 1, 2022 to Mar 30, 2022
- Related broker-dealer · true to falseFeb 1, 2022 to Mar 30, 2022
- Advisory employees · 10 to 13Dec 17, 2020 to Mar 19, 2021
- Advisory activities · 2 to 1Dec 17, 2020 to Mar 19, 2021
- Employees · 14 to 17Dec 17, 2020 to Mar 19, 2021
- Discretionary RAUM · $918M to $926MDec 17, 2020 to Mar 19, 2021
- RAUM · $918M to $926MDec 17, 2020 to Mar 19, 2021
- Accounts · 1 to 2Oct 16, 2020 to Dec 17, 2020
- Other offices · 0 to 1Oct 16, 2020 to Dec 17, 2020
- Discretionary RAUM · $120M to $918MOct 16, 2020 to Dec 17, 2020
- RAUM · $120M to $918MOct 16, 2020 to Dec 17, 2020
- Other offices · 1 to 0Sep 22, 2020 to Oct 16, 2020
- Accounts · unset to 1.0Jul 16, 2020 to Sep 22, 2020
- Advisory employees · 4 to 10Jul 16, 2020 to Sep 22, 2020
Signals
15 dated events
- M•• I••••••••• •••• I••• reported RAUM $11.9B, down 27% from $16.4B (2022-10-05 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- M••• B••••• J••••••• D•••••• (Director) no longer on Schedule A of M•• I••••••••• •••• I••• (listed 2022-10-05, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- M•• I••••••••• •••• I••• reported RAUM $16.4B, up 1671% from $925.5M (2022-02-01 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- J•••• L•••••• (Director) no longer on Schedule A of M•• I••••••••• •••• I••• (listed 2022-02-01, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- M••• B••••• J••••••• D•••••• (Director) appeared on Schedule A of M•• I••••••••• •••• I•••Feb 1, 2022 · Control person joined · fact
- Keene Christopher Yarbrough (Chief Compliance Officer) appeared on Schedule A of M•• I••••••••• •••• I•••Feb 1, 2022 · Control person joined · fact
- J•••• L•••••• (Director) appeared on Schedule A of M•• I••••••••• •••• I•••Feb 1, 2022 · Control person joined · fact
- Lawrence Jeffrey Cotton (Chief Compliance Officer) no longer on Schedule A of M•• I••••••••• •••• I••• (listed 2022-01-11, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- David Graham Mason (Director) no longer on Schedule A of M•• I••••••••• •••• I••• (listed 2021-12-03, absent 2022-01-11)Jan 11, 2022 · Control person left · inference
- Lawrence Jeffrey Cotton (Chief Compliance Officer) appeared on Schedule A of M•• I••••••••• •••• I•••Dec 3, 2021 · Control person joined · fact
- Andrew David Muckley (Chief Compliance Officer / Head Of Legal, Us) no longer on Schedule A of M•• I••••••••• •••• I••• (listed 2021-03-19, absent 2021-12-03)Dec 3, 2021 · Control person left · inference
- M•• I••••••••• •••• I••• reported RAUM $917.8M, up 662% from $120.5M (2020-10-16 to 2020-12-17)Dec 17, 2020 · RAUM change · derived
- Alejandro Nelson Zamora (Chief Operating Officer) appeared on Schedule A of M•• I••••••••• •••• I•••Sep 22, 2020 · Control person joined · fact
- Andrew David Muckley (Chief Compliance Officer / Head Of Legal, Us) appeared on Schedule A of M•• I••••••••• •••• I•••Jul 16, 2020 · Control person joined · fact
- M•• I••••••••• •••• I••• filed its initial SEC registration (Form ADV)May 1, 2020 · 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 18, 2026
- Principal office phone
- 1-872-263-2275reportedpublic record, Form ADV, Aug 28, 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
- Institutional 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