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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Former SEC-registered adviser

M•••••••• A•••• M••••••••• L•••

Former SEC-registered adviserGeorge Town, CRD 312071SEC 801-120574IAPD
Latest filing Mar 10, 2021
First filing on the tape Feb 18, 2021 · 3 filings
RAUM
$102M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$203M gross assets
History
3 filings and snapshots on the tape
RAUM$102M as of Mar 10, 2021
Feb 18, 2021$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2021
Feb 18, 20210 then
Employees (5.A)3 as of Mar 10, 2021
Feb 18, 20213 then
Private funds3 as of Mar 10, 2021
Feb 18, 20216 then
Practice profile
derived from the filing of Mar 10, 2021; 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
$33.9MderivedRAUM 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
unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$102M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 1 clientsreported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• F••••••• D•••• · Director; Chief Operating Officercontrol
        since 10/2020 · owns less than 5%
      • N••••••••• C••••••••• T•••• · Director; Principal; Portfolio Managercontrol
        since 10/2020 · owns less than 5%
      • T•••••• C••••••• M•••••• · Directorcontrol
        since 10/2020 · owns less than 5%
      • N••••••••• C••••••••• T•••• · Ownercontrol
        since 10/2020 · owns 75% or more of M•••••••• H••••••• ••••••• L•••
      Entity owners
      • M•••••••• H••••••• ••••••• L••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • M•••••••• M•• ••••• G• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · unset to 0.0
        Mar 3, 2021 to Mar 10, 2021
      • Custody of client assets · false to true
        Mar 3, 2021 to Mar 10, 2021
      • Private funds · 6 to 3
        Feb 18, 2021 to Mar 3, 2021
      Signals
      1 dated events
      • M•••••••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Feb 18, 2021 · 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