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••••• M••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 9, 2020 · 9 filings
SEC status approved since Nov 9, 2020
RAUM
$871M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$871M as of Mar 31, 2026
Mar 5, 2021$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 5, 20210 then
Employees (5.A)2 as of Mar 31, 2026
Mar 5, 20213 then
Private funds2 as of Mar 27, 2023
Mar 5, 20211 then
RAUM -28% over the last fiscal year+10% 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
- $174MderivedRAUM 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
- -28%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• J• I•• L•• | Hedge Fund | $333M | 1 | Mar 31, 2022 |
| M••••• J• I•• L••• | Hedge Fund | $319M | 1 | Mar 5, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• D•••••• M•••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- W••••• A•••••• T••••• · Chief Executive Officercontrolsince 09/2020 · owns 75% or more
Related persons
Schedule D 7.A
- M••••• J• I• G•• L••pooled vehicle sponsorn
- M••••• J• I• M••••••• L••pooled vehicle sponsorn
- M••••• J• I• M••••••• L••pooled vehicle sponsorn
- M••••• J• V• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,215,585,924 to $871,025,469 (-28.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +12.0% (87 comparable advisers, 7.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 7.0% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $871MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.2B to $871MMar 31, 2025 to Mar 31, 2026
- Accounts · 4 to 7Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $778M to $1.2BMar 28, 2024 to Mar 31, 2025
- RAUM · $778M to $1.2BMar 28, 2024 to Mar 31, 2025
- Accounts · 2 to 4Jun 1, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2.0 to unsetJun 1, 2023 to Mar 28, 2024
- Assets in custody · 0.0 to unsetJun 1, 2023 to Mar 28, 2024
- Employees · 3 to 2Jun 1, 2023 to Mar 28, 2024
- Private funds · 2 to unsetJun 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $653M to $778MJun 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · 652630533.0 to unsetJun 1, 2023 to Mar 28, 2024
- RAUM · $653M to $778MJun 1, 2023 to Mar 28, 2024
- Advisory employees · 1 to 2Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $590M to $653MMar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $590M to $653MMar 31, 2022 to Mar 27, 2023
- RAUM · $590M to $653MMar 31, 2022 to Mar 27, 2023
- Accounts · 1 to 2May 4, 2021 to Mar 31, 2022
- Pooled vehicle clients · 1 to 2May 4, 2021 to Mar 31, 2022
- Private funds · 1 to 2May 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $100M to $590MMay 4, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $100M to $590MMay 4, 2021 to Mar 31, 2022
- RAUM · $100M to $590MMay 4, 2021 to Mar 31, 2022
- Accounts · 0 to 1Oct 9, 2020 to Mar 5, 2021
- Pooled vehicle clients · unset to 1.0Oct 9, 2020 to Mar 5, 2021
- Private funds · unset to 1Oct 9, 2020 to Mar 5, 2021
- Discretionary RAUM · $0 to $100MOct 9, 2020 to Mar 5, 2021
- Pooled vehicle RAUM · unset to 100000000.0Oct 9, 2020 to Mar 5, 2021
- RAUM · $0 to $100MOct 9, 2020 to Mar 5, 2021
Signals
7 dated events
- M••••• M••••••• L•• reported RAUM $871.0M, down 28% from $1.2B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M••••• M••••••• L•• reported RAUM $1.2B, up 56% from $777.8M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- M•••• G••••••• (Interim Chief Financial Officer) no longer on Schedule A of M••••• M••••••• L•• (listed 2022-03-31, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- M••••• M••••••• L•• reported RAUM $589.9M, up 490% from $100.0M (2021-05-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- D••••• H•••••• (Chief Compliance Officer) appeared on Schedule A of M••••• M••••••• L••Mar 31, 2022 · Control person joined · fact
- Christopher Joseph Iraci (Chief Compliance Officer) no longer on Schedule A of M••••• M••••••• L•• (listed 2021-05-04, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- M••••• M••••••• L•• filed its initial SEC registration (Form ADV)Oct 9, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 888-656-5150reportedpublic 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
- Other 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