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••• A•• G••••• I••

Former SEC-registered adviserNew York, New YorkCRD 306781SEC 801-121372IAPD
Latest filing Mar 31, 2023
First filing on the tape May 1, 2021 · 6 filings
RAUM
$878M
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
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
$1.5B gross assets
History
6 filings and snapshots on the tape
RAUM$878M as of Mar 31, 2023
Mar 31, 2022$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20220 then
Employees (5.A)8 as of Mar 31, 2023
Mar 31, 202216 then
Private funds12 as of Mar 31, 2023
Mar 31, 202212 then
RAUM -21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$73.2MderivedRAUM 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
-21%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
$945M, 12 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$878M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$945M for 12 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
      Every departureEvery arrival
      Private funds
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••• A•• G••••• P••••••• M••••• F•••• L•Hedge Fund$86.2M3Dec 2, 2019
      M••• A•• G••••• P••••••• •••••••• L••Hedge Fund$76.3M79Dec 2, 2019
      M••• A•• G••••• B••••• H••••••• I•• L•Private Equity Fund$17.8M6Mar 31, 2022
      M••• A•• G••••• O••••••••• I• L•Hedge Fund$11.2M19Mar 31, 2021
      F• G••••• A••••••• R•••••• L•••Hedge Fund$10.5M3Mar 31, 2023
      M••• A•• G••••• P•••••••• L•Hedge Fund$10.1M18Dec 2, 2019
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$6.1M1Mar 31, 2022
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$467,4424Mar 31, 2022
      M••• A•• G••••• B••••• H•••••••• L•Private Equity Fund$116,2280May 1, 2021
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$02Mar 31, 2023
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$02Mar 31, 2022
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$02Mar 31, 2022
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$02Mar 31, 2022
      M••• A•• G••••• G••••• S••••••••• L• • S••••• 2•••••••Private Equity Fund$02Mar 31, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• C••••• W•••••• · Ccocontrol
        since 03/2023 · owns less than 5%
      • F•••• W•••••• · Chief Executive Officercontrol
        since 07/2019 · owns 75% or more
      Related persons
      Schedule D 7.A
      • M••• A•• G••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 12
        Mar 21, 2023 to Mar 31, 2023
      • Advisory employees · 10 to 8
        Mar 21, 2023 to Mar 31, 2023
      • Pooled vehicle clients · 16 to 12
        Mar 21, 2023 to Mar 31, 2023
      • Employees · 16 to 8
        Mar 21, 2023 to Mar 31, 2023
      • Discretionary RAUM · $1.1B to $878M
        Mar 21, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.1B to $878M
        Mar 21, 2023 to Mar 31, 2023
      • RAUM · $1.1B to $878M
        Mar 21, 2023 to Mar 31, 2023
      • Accounts · 6 to 16
        Feb 7, 2022 to Mar 31, 2022
      • Advisory employees · 6 to 10
        Feb 7, 2022 to Mar 31, 2022
      • Pooled vehicle clients · 6 to 16
        Feb 7, 2022 to Mar 31, 2022
      • Assets in custody · $295M to $945M
        Feb 7, 2022 to Mar 31, 2022
      • Employees · 8 to 16
        Feb 7, 2022 to Mar 31, 2022
      • Private funds · 5 to 12
        Feb 7, 2022 to Mar 31, 2022
      • Discretionary RAUM · $295M to $1.1B
        Feb 7, 2022 to Mar 31, 2022
      • Non-discretionary RAUM · $20.0M to $0
        Feb 7, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $315M to $1.1B
        Feb 7, 2022 to Mar 31, 2022
      • RAUM · $315M to $1.1B
        Feb 7, 2022 to Mar 31, 2022
      • Private funds · 10 to 5
        May 1, 2021 to Feb 7, 2022
      Signals
      4 dated events
      • Brooks Justin Dew (Chief Compliance Officer / Chief Operating Officer / President) no longer on Schedule A of M••• A•• G••••• I•• (listed 2022-04-08, absent 2023-03-21)
        Mar 21, 2023 · Control person left · inference
      • William Casey Dougherty (Cco) appeared on Schedule A of M••• A•• G••••• I••
        Mar 21, 2023 · Control person joined · fact
      • M••• A•• G••••• I•• reported RAUM $1.1B, up 252% from $314.9M (2022-02-07 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • M••• A•• G••••• I•• filed its initial SEC registration (Form ADV)
        May 1, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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