DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
M••• G••••• C•••••• M••••••••• L•
Other adviser, based in New York, New York, reporting $2.9B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $2.9B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -13%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 311912 · SEC 801-120340 · 7 filingsShowHide
CRD 311912SEC 801-120340First filing on the tape Jan 15, 2021, latest Mar 27, 2026SEC status approved since Feb 15, 2021IAPD
RAUM
$2.9B
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
20
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.9B as of Mar 27, 2026
Mar 29, 2022$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20220 then
Employees (5.A)20 as of Mar 27, 2026
Mar 29, 202214 then
Private funds2 as of Mar 27, 2026
Mar 29, 20221 then
RAUM -13% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $490MderivedRAUM 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
- -13%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.5B, 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
- 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)
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$537M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.18 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• G••••• M••••• F••• L• | Hedge Fund | $507M | 35 | Jun 14, 2021 |
| M••• G••••• L••• O••• M••••• F••• L• | Hedge Fund | $29.9M | 1 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• R•••• R• · Limited Partner And Chief Investment Officercontrolsince 05/2020 · owns 75% or more
- A•••••• T••••••• S•••••• · Chief Financial Officercontrolsince 09/2020 · owns less than 5%
- E••••• E•••• M•••• · G•••••• Counsel And Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- A••••••••• R•••• R• · Managing Membercontrolsince 05/2020 · owns 50% to 75% of M••• G••••• C•••••• M••••••••• G• L••
- A••••••••• M••••••• K•••• · Membersince 10/2021 · owns 25% to 50% of M••• G••••• C•••••• M••••••••• G• L••
Entity owners
- M••• G••••• C•••••• M••••••••• G• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- M••• G••••• G•••••• P•••••• L••bankpooled vehicle sponsorn
- M••• G••••• L••• O••• G•••••• P•••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 15 to 16Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $1.6B to $1.5BMar 26, 2025 to Mar 27, 2026
- Employees · 19 to 20Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.4B to $2.9BMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $462M to $537MMar 26, 2025 to Mar 27, 2026
- RAUM · $3.4B to $2.9BMar 26, 2025 to Mar 27, 2026
- Advisory employees · 12 to 15Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $1.2B to $1.6BMar 27, 2024 to Mar 26, 2025
- Employees · 16 to 19Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.1B to $3.4BMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $307M to $462MMar 27, 2024 to Mar 26, 2025
- RAUM · $2.1B to $3.4BMar 27, 2024 to Mar 26, 2025
- Accounts · 4 to 6Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 11 to 12Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 3 to 5Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $1.1B to $1.2BMar 30, 2023 to Mar 27, 2024
- Employees · 15 to 16Mar 30, 2023 to Mar 27, 2024
- Private funds · 1 to 2Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.6B to $2.1BMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $303M to $307MMar 30, 2023 to Mar 27, 2024
- RAUM · $1.6B to $2.1BMar 30, 2023 to Mar 27, 2024
- Assets in custody · $1.1B to $1.1BMar 29, 2022 to Mar 30, 2023
- Employees · 14 to 15Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.6B to $1.6BMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $290M to $303MMar 29, 2022 to Mar 30, 2023
- RAUM · $1.6B to $1.6BMar 29, 2022 to Mar 30, 2023
- Assets in custody · $1.1B to $1.1BJun 14, 2021 to Mar 29, 2022
- Employees · 15 to 14Jun 14, 2021 to Mar 29, 2022
- Discretionary RAUM · $2.1B to $1.6BJun 14, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $205M to $290MJun 14, 2021 to Mar 29, 2022
- RAUM · $2.1B to $1.6BJun 14, 2021 to Mar 29, 2022
- Advisory employees · 5 to 11Jan 15, 2021 to Jun 14, 2021
- Accounts · unset to 4.0Jan 15, 2021 to Jun 14, 2021
- Advisory activities · 1 to 2Jan 15, 2021 to Jun 14, 2021
- Pooled vehicle clients · unset to 3.0Jan 15, 2021 to Jun 14, 2021
- Assets in custody · unset to 1064794387.0Jan 15, 2021 to Jun 14, 2021
- Custody of client assets · false to trueJan 15, 2021 to Jun 14, 2021
- Employees · 6 to 15Jan 15, 2021 to Jun 14, 2021
- Private funds · unset to 1Jan 15, 2021 to Jun 14, 2021
Signals
8 dated events
- ••• LockedMar 27, 2026 · private fund gav change · fact
- ••• LockedMar 27, 2026 · ria private fund assets change · fact
- ••• LockedMar 27, 2026 · ria principal change · fact
- ••• LockedMar 27, 2026 · Control person joined · fact
- ••• LockedMar 26, 2025 · RAUM change · derived
- ••• LockedMar 27, 2024 · RAUM change · derived
- ••• LockedJun 14, 2021 · Control person joined · fact
- ••• LockedJan 15, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••• G••••• C•••••• M••••••••• L• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 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