DFX Intelligence

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Former SEC-registered adviser

M••••••• A•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 310188SEC 801-119524IAPD

Latest filing Mar 23, 2023

First filing on the tape Aug 25, 2020 · 13 filings

RAUM

$189M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$189M gross assets

History

13 filings and snapshots on the tape

RAUM$189M as of Mar 23, 2023

Mar 30, 2021$119M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2023

Mar 30, 20210 then

Employees (5.A)5 as of Mar 23, 2023

Mar 30, 20213 then

Private funds4 as of Mar 23, 2023

Mar 30, 20215 then

RAUM -53% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 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: $47.3MderivedRAUM 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: -53%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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$189M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
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 departure Every arrival

Private funds

7 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M••••••• B••••• F••• I•• L•	Hedge Fund	$181M	2	Mar 30, 2021
M••••••• H••••• F•••• L•	Hedge Fund	$33.4M	69	Mar 29, 2022
M••••••• B••••• F•••• L•	Hedge Fund	$6.2M	21	Mar 30, 2021
M••••••• O••••••••• F•••• L•no longer reported	Hedge Fund	$3.4M	40	Aug 25, 2020
M••••••• S•• I••• L•	Hedge Fund	$1.5M	3	Aug 25, 2020
1•••no longer reported	Hedge Fund	$466,028	35	Aug 25, 2020
M••••••• H••• F•••• L•	Hedge Fund	$208,382	2	Aug 25, 2020

Owners and control persons

Schedule A and B, latest filing

D•••••• J•••••••• D•••• · Chief Executive Officer; Portfolio Managercontrol
since 09/2011 · owns less than 5%
G••••••••• A•••• · Partnercontrol
since 04/2016 · owns less than 5%
L•••• E•••• · Chief Compliance Officer; Chief Financial Officer; Chief Operating Officercontrol
since 01/2023 · owns less than 5%
D•••••• J•••••••• D•••• · Sole Membercontrol
since 09/2011 · owns 75% or more of M••••••• A••••••• G•• L••
D•••••• J•••••••• D•••• · Limited Partnercontrol
since 09/2011 · owns 75% or more of M••••••• M••••••••• L•

Entity owners

M••••••• A••••••• G•• L•• · General Partner
direct · owns less than 5%
M••••••• M••••••••• L• · Limited Partner
direct · owns 75% or more
M••••••• A••••••• G•• L•• · General Partner
indirect · owns F of M••••••• M••••••••• L•

Related persons

Schedule D 7.A

M••••••• A••••••• G•• L••
pooled vehicle sponsory
M••••••• M••••••••• L•
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 6 to 4
Jan 24, 2023 to Mar 23, 2023
Pooled vehicle clients · 6 to 4
Jan 24, 2023 to Mar 23, 2023
Private funds · 5 to 4
Jan 24, 2023 to Mar 23, 2023
Discretionary RAUM · $286M to $189M
Jan 24, 2023 to Mar 23, 2023
Non-discretionary RAUM · $3.9M to $0
Jan 24, 2023 to Mar 23, 2023
Pooled vehicle RAUM · $290M to $189M
Jan 24, 2023 to Mar 23, 2023
RAUM · $290M to $189M
Jan 24, 2023 to Mar 23, 2023
Accounts · 5 to 6
Apr 26, 2022 to Aug 1, 2022
BD registered reps · 1 to 0
Apr 26, 2022 to Aug 1, 2022
Pooled vehicle clients · 5 to 6
Apr 26, 2022 to Aug 1, 2022
Discretionary RAUM · $405M to $286M
Apr 26, 2022 to Aug 1, 2022
Non-discretionary RAUM · $0 to $3.9M
Apr 26, 2022 to Aug 1, 2022
Pooled vehicle RAUM · $405M to $290M
Apr 26, 2022 to Aug 1, 2022
RAUM · $405M to $290M
Apr 26, 2022 to Aug 1, 2022
Advisory employees · 2 to 4
Apr 28, 2021 to Mar 29, 2022
BD registered reps · 0 to 1
Apr 28, 2021 to Mar 29, 2022
Employees · 3 to 5
Apr 28, 2021 to Mar 29, 2022
Discretionary RAUM · $119M to $405M
Apr 28, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $119M to $405M
Apr 28, 2021 to Mar 29, 2022
RAUM · $119M to $405M
Apr 28, 2021 to Mar 29, 2022
Accounts · 4 to 5
Dec 1, 2020 to Mar 30, 2021
Pooled vehicle clients · 4 to 5
Dec 1, 2020 to Mar 30, 2021
Private funds · 4 to 5
Dec 1, 2020 to Mar 30, 2021
Discretionary RAUM · $47.0M to $119M
Dec 1, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $47.0M to $119M
Dec 1, 2020 to Mar 30, 2021
RAUM · $47.0M to $119M
Dec 1, 2020 to Mar 30, 2021
Related adviser · false to true
Dec 1, 2020 to Mar 30, 2021
Employees · 2 to 3
Oct 30, 2020 to Dec 1, 2020

Signals

7 dated events

M••••••• A•••••••• L• reported RAUM $189.1M, down 35% from $289.7M (2023-01-24 to 2023-03-23)
Mar 23, 2023 · RAUM change · derived
Estee Levy (Chief Compliance Officer) appeared on Schedule A of M••••••• A•••••••• L•
Jan 24, 2023 · Control person joined · fact
Bret Denis Cummings (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of M••••••• A•••••••• L• (listed 2022-12-12, absent 2022-12-14)
Dec 14, 2022 · Control person left · inference
M••••••• A•••••••• L• reported RAUM $289.7M, down 28% from $404.9M (2022-04-26 to 2022-08-01)
Aug 1, 2022 · RAUM change · derived
M••••••• A•••••••• L• reported RAUM $404.9M, up 241% from $118.8M (2021-04-28 to 2022-03-29)
Mar 29, 2022 · RAUM change · derived
Bret Denis Cummings (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of M••••••• A•••••••• L•
Dec 1, 2020 · Control person joined · fact
M••••••• A•••••••• L• filed its initial SEC registration (Form ADV)
Aug 25, 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