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•••••• C•••••• A••••••• U• L•••

Former SEC-registered adviserLondon, CRD 307507SEC 801-126509IAPD
Latest filing Nov 29, 2024
First filing on the tape Aug 5, 2022 · 10 filings
RAUM
$1.5B
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
28
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.5B gross assets
History
10 filings and snapshots on the tape
RAUM$1.5B as of Mar 28, 2024
Mar 31, 2023$6.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 31, 20230 then
Employees (5.A)28 as of Mar 28, 2024
Mar 31, 202339 then
Private funds3 as of Mar 28, 2024
Mar 31, 20233 then
RAUM -77% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 29, 2024; 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
$254MderivedRAUM 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
-77%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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••• M•••• P•••••••• L•••no longer reportedHedge Fund$6.5B28Feb 28, 2018
      M•••••• E•••• F••• L••Hedge Fund$854M11Mar 31, 2023
      M•••••• M•••• T•••••• L•••Hedge Fund$668M23Feb 28, 2018
      M•••••• T•••••• I• L•••Hedge Fund$023Aug 5, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• C••••••••• G••• · Non Executive Directorcontrol
        since 11/2021 · owns less than 5%
      • K••••• M•••• B•••••• · Director/Chief Operating Officer/Chief Financial Officercontrol
        since 11/2019 · owns less than 5%
      • M••••••• D•••••••• M••••••• K•••• · Director/Chief Executive Officer/Chief Investment Officercontrol
        since 05/2019 · owns less than 5%
      • T•••• P••••••• J•••• M•••••••• · Director/Chief Risk Officer/Chief Compliance Officercontrol
        since 11/2019 · owns less than 5%
      Entity owners
      • M•••••• C•••••• A••••••• U• H••••••• L•• · Owner
        direct · owns 75% or more
      • M•••••• C•••••• A••••••• G••••• H••••••• L••• · Indirect Owner
        indirect · owns 75% or more of M•••••• C•••••• A••••••• U• H••••••• L••
      • T•• D••••• T•••• · Indirect Owner
        indirect · owns 75% or more of M•••••• C•••••• A••••••• G••••• H••••••• L•••
      • V• T•••••• L•••••• · T•••••• Of T•• D••••• T••••
        indirect · owns F of T•• D••••• T••••
      Related persons
      Schedule D 7.A
      • M•••••• C•••••• A••••••• G••••• H••••••• L••
        investment advisery
      • M•••••• C•••••• A••••••• G• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Feb 7, 2024 to Mar 28, 2024
      • Pooled vehicle clients · 7 to 6
        Feb 7, 2024 to Mar 28, 2024
      • Employees · 39 to 28
        Feb 7, 2024 to Mar 28, 2024
      • Discretionary RAUM · $6.5B to $1.5B
        Feb 7, 2024 to Mar 28, 2024
      • Pooled vehicle RAUM · $6.5B to $1.5B
        Feb 7, 2024 to Mar 28, 2024
      • RAUM · $6.5B to $1.5B
        Feb 7, 2024 to Mar 28, 2024
      • Accounts · 6 to 7
        Jan 3, 2023 to Mar 31, 2023
      • Pooled vehicle clients · 6 to 7
        Jan 3, 2023 to Mar 31, 2023
      • Employees · 35 to 39
        Jan 3, 2023 to Mar 31, 2023
      • Private funds · 2 to 3
        Jan 3, 2023 to Mar 31, 2023
      • Discretionary RAUM · $7.2B to $6.5B
        Jan 3, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $7.2B to $6.5B
        Jan 3, 2023 to Mar 31, 2023
      • RAUM · $7.2B to $6.5B
        Jan 3, 2023 to Mar 31, 2023
      • Accounts · 5 to 6
        Aug 12, 2022 to Jan 3, 2023
      • Pooled vehicle clients · 5 to 6
        Aug 12, 2022 to Jan 3, 2023
      • Discretionary RAUM · $4.7B to $7.2B
        Aug 12, 2022 to Jan 3, 2023
      • Pooled vehicle RAUM · $4.7B to $7.2B
        Aug 12, 2022 to Jan 3, 2023
      • RAUM · $4.7B to $7.2B
        Aug 12, 2022 to Jan 3, 2023
      • Private funds · 4 to 2
        Aug 5, 2022 to Aug 12, 2022
      • Discretionary RAUM · $2.3B to $4.7B
        Aug 5, 2022 to Aug 12, 2022
      • Pooled vehicle RAUM · $2.3B to $4.7B
        Aug 5, 2022 to Aug 12, 2022
      • RAUM · $2.3B to $4.7B
        Aug 5, 2022 to Aug 12, 2022
      Signals
      5 dated events
      • M•••••• C•••••• A••••••• U• L••• reported RAUM $1.5B, down 77% from $6.5B (2024-02-07 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • M•••••• C•••••• A••••••• U• L••• reported RAUM $7.2B, up 52% from $4.7B (2022-08-12 to 2023-01-03)
        Jan 3, 2023 · RAUM change · derived
      • Jennings Bradford Williams (Director/Head Of The Client And Investor Group) no longer on Schedule A of M•••••• C•••••• A••••••• U• L••• (listed 2022-08-12, absent 2023-01-03)
        Jan 3, 2023 · Control person left · inference
      • M•••••• C•••••• A••••••• U• L••• reported RAUM $4.7B, up 107% from $2.3B (2022-08-05 to 2022-08-12)
        Aug 12, 2022 · RAUM change · derived
      • M•••••• C•••••• A••••••• U• L••• filed its initial SEC registration (Form ADV)
        Aug 5, 2022 · 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