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••• I••••••••• M••••••••• C•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jan 14, 2021 · 8 filings
SEC status approved since Feb 19, 2021
RAUM
$3.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$3.9M as of Mar 30, 2026
Mar 11, 2022$3.4M then
HNW client RAUM$3.9M as of Mar 30, 2026
Mar 11, 2022$3.4M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 11, 20220 then
Employees (5.A)1 as of Mar 30, 2026
Mar 11, 20221 then
Private funds: no history
RAUM +3.0% over the last fiscal year+8.1% 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
- $553,007derivedHNW RAUM over HNW clients
- Average account
- $553,007derivedRAUM 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
- +3.0%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 individualsreportedItem 5.G
- Wrap fee program
- $3.9MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.9M100%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M••••••• Y••• · Ceo, Cio, Cfo, Ccocontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Mar 27, 2025 to Mar 30, 2026
- HNW clients · 6 to 7Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.8M to $3.9MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $3.8M to $3.9MMar 27, 2025 to Mar 30, 2026
- RAUM · $3.8M to $3.9MMar 27, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jan 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.4M to $3.8MJan 22, 2024 to Mar 27, 2025
- HNW RAUM · $3.4M to $3.8MJan 22, 2024 to Mar 27, 2025
- RAUM · $3.4M to $3.8MJan 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.1M to $3.4MMar 3, 2023 to Jan 22, 2024
- HNW RAUM · $3.1M to $3.4MMar 3, 2023 to Jan 22, 2024
- RAUM · $3.1M to $3.4MMar 3, 2023 to Jan 22, 2024
- Discretionary RAUM · $3.4M to $3.1MMar 11, 2022 to Mar 3, 2023
- HNW RAUM · $3.4M to $3.1MMar 11, 2022 to Mar 3, 2023
- RAUM · $3.4M to $3.1MMar 11, 2022 to Mar 3, 2023
- Discretionary RAUM · $3.6M to $3.4MAug 3, 2021 to Mar 11, 2022
- HNW RAUM · $3.6M to $3.4MAug 3, 2021 to Mar 11, 2022
- RAUM · $3.6M to $3.4MAug 3, 2021 to Mar 11, 2022
- Accounts · 0 to 6Jan 22, 2021 to Aug 3, 2021
- HNW clients · unset to 6.0Jan 22, 2021 to Aug 3, 2021
- HQ city · NEW YORK to BROOKLYNJan 22, 2021 to Aug 3, 2021
- Discretionary RAUM · $0 to $3.6MJan 22, 2021 to Aug 3, 2021
- HNW RAUM · unset to 3591703.0Jan 22, 2021 to Aug 3, 2021
- RAUM · $0 to $3.6MJan 22, 2021 to Aug 3, 2021
Signals
1 dated events
- M••• I••••••••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jan 14, 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 646-350-7400reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (646) 350-7400reportedpublic 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
- Independent wealth managerderiveda 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