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•• W••••• M••••••••• L••

Former SEC-registered adviserPasadena, CaliforniaCRD 309205SEC 801-118962IAPD
Latest filing Oct 12, 2020
First filing on the tape May 22, 2020 · 8 filings
RAUM
$2.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.1M as of Oct 12, 2020
May 22, 2020$0 then
HNW client RAUM$2.1M as of Oct 12, 2020
Sep 18, 2020$2.1M then
State-registered IARs (5.B.3)1 as of Oct 12, 2020
May 22, 20201 then
Employees (5.A)3 as of Oct 12, 2020
May 22, 20201 then
Private funds: no history
Practice profile
derived from the filing of Oct 12, 2020; every figure names its basis
RAUM per advisor
$2.1MderivedRAUM 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
$706,111derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individualsreportedItem 5.G
Custody
$59,545, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$59,545 for 1 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• R••••••• S••••• · Managing Member & Chief Compliance Officercontrol
        since 05/2020 · owns 75% or more
      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
      • Employees · 1 to 3
        Sep 18, 2020 to Oct 8, 2020
      • Accounts · 0 to 3
        Jul 24, 2020 to Sep 18, 2020
      • Business name · M•• C••••••• L•• to M•• W••••• M••••••••• L••
        Jul 24, 2020 to Sep 18, 2020
      • Assets in custody · unset to 59545.0
        Jul 24, 2020 to Sep 18, 2020
      • Custody of client assets · false to true
        Jul 24, 2020 to Sep 18, 2020
      • Legal name · M•• C••••••• L•• to M•• W••••• M••••••••• L••
        Jul 24, 2020 to Sep 18, 2020
      • Discretionary RAUM · $0 to $2.1M
        Jul 24, 2020 to Sep 18, 2020
      • HNW RAUM · unset to 2118334.0
        Jul 24, 2020 to Sep 18, 2020
      • RAUM · $0 to $2.1M
        Jul 24, 2020 to Sep 18, 2020
      • Business name · M•• C•••••• to M•• C••••••• L••
        May 22, 2020 to Jun 22, 2020
      Signals
      1 dated events
      • M•• C•••••• filed its initial SEC registration (Form ADV)
        May 22, 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.
      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