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•••••

Former SEC-registered adviserNew York, New YorkCRD 312664SEC 801-120614IAPD
Legal name A••••••• A•••• M••••••••• I•••
Latest filing Dec 21, 2022
First filing on the tape Feb 23, 2021 · 9 filings
RAUM
$13.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$12.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
1 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$13.0M as of Dec 21, 2022
Feb 23, 2021$0 then
HNW client RAUM$0 as of Dec 21, 2022
Feb 23, 2021$0 then
State-registered IARs (5.B.3)1 as of Dec 21, 2022
Feb 23, 20210 then
Employees (5.A)17 as of Dec 21, 2022
Feb 23, 20215 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 21, 2022; every figure names its basis
RAUM per advisor
$13.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7,707derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1,681derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
17.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$12.8M99%
  • Corporations and businesses$174,0501.3%
Individual clients
7,707reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7,716reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • F•••• E••••••••• W•••••• · Vice President Of Operationscontrol
        since 02/2021 · owns less than 5%
      • K•••• M••••••• S•••••• · Chief Technology Officercontrol
        since 02/2021 · owns less than 5%
      • P•••••••• J••••• W••••••• · Chief Executive Officercontrol
        since 02/2021 · owns less than 5%
      • S••••••••• J•••••• H•••• · Chief Compliance Officercontrol
        since 05/2021 · owns less than 5%
      • S••••• J•••••••• B•••••• · Shareholdercontrol
        since 08/2008 · owns 25% to 50% of B••••••••• H•••••••• I•••
      Entity owners
      • B••••••••• H•••••••• I••• · Parent Entity
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Organization form · Corporation to Limited Liability Company
        Apr 27, 2022 to Dec 21, 2022
      • Succession · false to true
        Apr 27, 2022 to Dec 21, 2022
      • Accounts · 0 to 7,716
        Mar 4, 2022 to Mar 30, 2022
      • Corporate clients · 0 to 9
        Mar 4, 2022 to Mar 30, 2022
      • Individual clients · 0 to 7,707
        Mar 4, 2022 to Mar 30, 2022
      • Employees · 15 to 17
        Mar 4, 2022 to Mar 30, 2022
      • Discretionary RAUM · $0 to $13.0M
        Mar 4, 2022 to Mar 30, 2022
      • Individual RAUM · $0 to $12.8M
        Mar 4, 2022 to Mar 30, 2022
      • RAUM · $0 to $13.0M
        Mar 4, 2022 to Mar 30, 2022
      • HQ city · SEATTLE to NEW YORK
        Jan 11, 2022 to Mar 4, 2022
      • HQ state · WA to NY
        Jan 11, 2022 to Mar 4, 2022
      • Legal name · M••••• DIGITAL CORPORATION to A••••••• A•••• M••••••••• I•••
        Jan 11, 2022 to Mar 4, 2022
      • Related broker-dealer · false to true
        Jan 11, 2022 to Mar 4, 2022
      • Succession · true to false
        Jan 11, 2022 to Mar 4, 2022
      • Advisory activities · 1 to 2
        Aug 10, 2021 to Jan 11, 2022
      • Succession · false to true
        Aug 10, 2021 to Jan 11, 2022
      • BD registered reps · 0 to 1
        May 24, 2021 to Aug 10, 2021
      • Employees · 5 to 15
        May 24, 2021 to Aug 10, 2021
      • State-registered IARs · 0 to 1
        May 24, 2021 to Aug 10, 2021
      • Legal name · M••••• DIGITAL INC. to M••••• DIGITAL CORPORATION
        Feb 23, 2021 to May 24, 2021
      Signals
      5 dated events
      • Amanda Sadie Raney (Owner) no longer on Schedule A of Makara (listed 2022-01-11, absent 2022-03-04)
        Mar 4, 2022 · Control person left · inference
      • Babcock Jonathan Stein (Shareholder) appeared on Schedule A of Makara
        Mar 4, 2022 · Control person joined · fact
      • Makara reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 11, 2022 · Succession (Item 4) · fact
      • Hayes Justin Schleifer (Chief Compliance Officer) appeared on Schedule A of Makara
        May 24, 2021 · Control person joined · fact
      • Makara filed its initial SEC registration (Form ADV)
        Feb 23, 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