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•••• L•••• I•••• A••••••• L••

Asset manager (funds and pooled vehicles)Newtown, PennsylvaniaCRD 310820SEC 801-119730IAPD
Latest filing Mar 30, 2026
First filing on the tape Oct 2, 2020 · 8 filings
SEC status approved since Oct 28, 2020
RAUM
$170M
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
0
0 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$170M as of Mar 30, 2026
Jan 7, 2021$26.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 7, 20210 then
Employees (5.A)0 as of Mar 30, 2026
Jan 7, 20210 then
Private funds: no history
RAUM -49% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$170MderivedRAUM 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
-49%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$170M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••• G••••••• J• · Chief Financial Officer And Chief Compliance Officercontrol
        since 08/2020 · owns less than 5%
      • M••••••• J••••• A•••• · Controller Of Managing Membercontrol
        since 01/2011 · owns less than 5%
      • P•••• I••• G••••• · Chief Operating Officer Of Managing Membercontrol
        since 02/2015 · owns less than 5%
      • R•••••••• T••••••• J••• · Chief Executive Officer Of Managing Membercontrol
        since 01/2011 · owns less than 5%
      • A•••••• R••••• E•••• · Member Of M•• L••control
        since 01/2011 · owns 25% to 50% of M•• L••
      • I•• R••••••• E• · Member Of M•• L••control
        since 01/2011 · owns 25% to 50% of M•• L••
      • P•••• I••• G••••• · Member Of M•• L••control
        since 01/2022 · owns 25% to 50% of M•• L••
      • R•••••••• T••••••• J••• · Member Of M•• L••control
        since 01/2011 · owns 25% to 50% of M•• L••
      Entity owners
      • M•••• L•••• M••••••••• L• · Member
        direct · owns 75% or more
      • M•• L•• · General Partner
        indirect · owns F of M•••• L•••• M••••••••• L•
      • O••••••• S•••• U••••••••• F••••••••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list M•••• L•••• I•••• A••••••• L•• as a related person
      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 30, 2026
        RAUM (Item 5.F) moved from $334,271,917 to $170,299,594 (-49.0%) between the annual amendments of 2025-03-21 and 2026-03-30; the peer median change was +4.0% (1148 comparable advisers, 3.0th percentile of changes)
        peers: asset managers, $100M to $500M (1,148) · 3.3% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $334M to $170M
        Mar 21, 2025 to Mar 30, 2026
      • RAUM · $334M to $170M
        Mar 21, 2025 to Mar 30, 2026
      • Financial planning clients · unset to
        Mar 18, 2024 to Mar 21, 2025
      • Discretionary RAUM · $260M to $334M
        Mar 18, 2024 to Mar 21, 2025
      • RAUM · $260M to $334M
        Mar 18, 2024 to Mar 21, 2025
      • Discretionary RAUM · $261M to $260M
        May 16, 2023 to Mar 18, 2024
      • RAUM · $261M to $260M
        May 16, 2023 to Mar 18, 2024
      • Discretionary RAUM · $31.8M to $261M
        Mar 30, 2022 to Mar 17, 2023
      • RAUM · $31.8M to $261M
        Mar 30, 2022 to Mar 17, 2023
      • Discretionary RAUM · $26.4M to $31.8M
        Jan 7, 2021 to Mar 30, 2022
      • RAUM · $26.4M to $31.8M
        Jan 7, 2021 to Mar 30, 2022
      • Accounts · unset to 1.0
        Oct 2, 2020 to Jan 7, 2021
      • Discretionary RAUM · unset to 26373474.0
        Oct 2, 2020 to Jan 7, 2021
      • Non-discretionary RAUM · unset to 0.0
        Oct 2, 2020 to Jan 7, 2021
      • RAUM · unset to 26373474.0
        Oct 2, 2020 to Jan 7, 2021
      Signals
      4 dated events
      • M•••• L•••• I•••• A••••••• L•• reported RAUM $170.3M, down 49% from $334.3M (2025-03-21 to 2026-03-30)
        Mar 30, 2026 · RAUM change · derived
      • Ellis Roger Alcaly (Member Of M•• L••) appeared on Schedule A of M•••• L•••• I•••• A••••••• L••
        May 16, 2023 · Control person joined · fact
      • E Raymond Ix (Member Of M•• L••) appeared on Schedule A of M•••• L•••• I•••• A••••••• L••
        May 16, 2023 · Control person joined · fact
      • M•••• L•••• I•••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 2, 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
      267-759-3500reportedpublic record, Form ADV, Mar 30, 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