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•• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 5, 2020 · 12 filings
SEC status approved since Jul 1, 2020
RAUM
$1.6B
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
39
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2026
Mar 28, 2021$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20210 then
Employees (5.A)39 as of Mar 31, 2026
Mar 28, 202110 then
Private funds2 as of Mar 31, 2026
Mar 28, 20211 then
RAUM +30% over the last fiscal year+79% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $824MderivedRAUM 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
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.4B, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 2 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• W••••• P••••••• L•• | Private Equity Fund | $578M | 103 | Jun 5, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••• T••••••• J••• · Managing Partnercontrolsince 06/2020 · owns less than 5%
- B••••••• M••••••• K•••• · Managing Partnercontrolsince 06/2020 · owns less than 5%
- D••••••• R••••••• A• · Partnercontrolsince 06/2020 · owns less than 5%
- M•••••• D••••• M•••••• · Managing Partnercontrolsince 06/2020 · owns less than 5%
- P•••••• S••••• S••••• · Co-Chairmancontrolsince 06/2020 · owns less than 5%
- S••••••• M•••• A••• · Co-Chairmancontrolsince 06/2020 · owns less than 5%
- S••••• B••••• A•••• · Managing Partnercontrolsince 06/2020 · owns less than 5%
- Y••••• T•••••• K•••••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
Entity owners
- M••••••• I••••••••• M••••••••• L•• · Memberdirect · owns 75% or more
- M••••••• I••••••••• M••••••••• H•••••••• L•• · Ownerindirect · owns 75% or more of M••••••• I••••••••• M••••••••• L••
Related persons
Schedule D 7.A
- S•••••• 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
- affiliate changedChange between filings · filing Mar 31, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-08-20, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Assets in custody · $1.3B to $1.4BAug 20, 2025 to Mar 31, 2026
- Employees · 28 to 39Aug 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.6BAug 20, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.6BAug 20, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.6BAug 20, 2025 to Mar 31, 2026
- Related broker-dealer · true to falseAug 20, 2025 to Mar 31, 2026
- Accounts · 1 to 2Mar 27, 2024 to Mar 30, 2025
- Pooled vehicle clients · 1 to 2Mar 27, 2024 to Mar 30, 2025
- Assets in custody · $578M to $1.3BMar 27, 2024 to Mar 30, 2025
- Employees · 25 to 28Mar 27, 2024 to Mar 30, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 30, 2025
- Private funds · 1 to 2Mar 27, 2024 to Mar 30, 2025
- Discretionary RAUM · $578M to $1.3BMar 27, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $578M to $1.3BMar 27, 2024 to Mar 30, 2025
- RAUM · $578M to $1.3BMar 27, 2024 to Mar 30, 2025
- Assets in custody · $286M to $578MAug 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $286M to $578MAug 3, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $286M to $578MAug 3, 2023 to Mar 27, 2024
- RAUM · $286M to $578MAug 3, 2023 to Mar 27, 2024
- Assets in custody · $206M to $286MMar 31, 2022 to Mar 31, 2023
- Employees · 10 to 25Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $206M to $286MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $206M to $286MMar 31, 2022 to Mar 31, 2023
- RAUM · $206M to $286MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $0 to $206MMar 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $106M to $206MMar 28, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $106M to $206MMar 28, 2021 to Mar 31, 2022
- RAUM · $106M to $206MMar 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $78.3M to $106MOct 29, 2020 to Mar 28, 2021
- Pooled vehicle RAUM · $78.3M to $106MOct 29, 2020 to Mar 28, 2021
- RAUM · $78.3M to $106MOct 29, 2020 to Mar 28, 2021
- Accounts · 0 to 1Jun 5, 2020 to Oct 29, 2020
- Pooled vehicle clients · unset to 1.0Jun 5, 2020 to Oct 29, 2020
- Discretionary RAUM · $0 to $78.3MJun 5, 2020 to Oct 29, 2020
- Pooled vehicle RAUM · unset to 78250000.0Jun 5, 2020 to Oct 29, 2020
- RAUM · $0 to $78.3MJun 5, 2020 to Oct 29, 2020
Signals
4 dated events
- M•• A•••••••• L•• reported RAUM $1.6B, up 30% from $1.3B (2025-08-20 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M•• A•••••••• L•• reported RAUM $1.3B, up 120% from $578.1M (2024-03-27 to 2025-03-30)Mar 30, 2025 · RAUM change · derived
- M•• A•••••••• L•• reported RAUM $578.1M, up 102% from $285.5M (2023-08-03 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- M•• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 5, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M•• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-979-4070reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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