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•• C•••••••• L••
Latest filing Mar 25, 2024
First filing on the tape Oct 13, 2021 · 5 filings
SEC status approved since Nov 15, 2021
RAUM
$193,512
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193,512 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
5 filings and snapshots on the tape
RAUM$193,512 as of Mar 25, 2024
Mar 3, 2022$27,730 then
HNW client RAUM$193,512 as of Mar 25, 2024
Mar 3, 2022$27,730 then
State-registered IARs (5.B.3)1 as of Mar 25, 2024
Mar 3, 20221 then
Employees (5.A)1 as of Mar 25, 2024
Mar 3, 20221 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $193,512derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $48,378derivedHNW RAUM over HNW clients
- Average account
- $32,252derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- 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$193,512100%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• M••••••••• R•••••• · President / Chief Compliance Officercontrolsince 03/2021 · owns 75% or more
Related persons
Schedule D 7.A
- M•• C•••••• I••••••••• L••investment advisernRAUM $228M
Advisers that list M•• C•••••••• L•• as a related person
- 167256 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 6Mar 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $149,330 to $193,512Mar 22, 2023 to Mar 25, 2024
- HNW RAUM · $149,330 to $193,512Mar 22, 2023 to Mar 25, 2024
- RAUM · $149,330 to $193,512Mar 22, 2023 to Mar 25, 2024
- Accounts · 5 to 4Aug 18, 2022 to Mar 22, 2023
- HNW clients · 5 to 4Aug 18, 2022 to Mar 22, 2023
- Assets in custody · 140000.0 to unsetAug 18, 2022 to Mar 22, 2023
- Custody of client assets · true to falseAug 18, 2022 to Mar 22, 2023
- Financial planning clients · unset to 0Aug 18, 2022 to Mar 22, 2023
- Discretionary RAUM · $27,730 to $149,330Aug 18, 2022 to Mar 22, 2023
- HNW RAUM · $27,730 to $149,330Aug 18, 2022 to Mar 22, 2023
- RAUM · $27,730 to $149,330Aug 18, 2022 to Mar 22, 2023
- Accounts · 0 to 5Oct 13, 2021 to Mar 3, 2022
- HNW clients · unset to 5.0Oct 13, 2021 to Mar 3, 2022
- Assets in custody · unset to 140000.0Oct 13, 2021 to Mar 3, 2022
- Custody of client assets · false to trueOct 13, 2021 to Mar 3, 2022
- Discretionary RAUM · $0 to $27,730Oct 13, 2021 to Mar 3, 2022
- HNW RAUM · unset to 27730.0Oct 13, 2021 to Mar 3, 2022
- RAUM · $0 to $27,730Oct 13, 2021 to Mar 3, 2022
Signals
3 dated events
- M•• C•••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $193,512)Mar 6, 2025 · Left the SEC roster · derived
- Macarther Royster Plumart no longer registered at M•• C•••••••• L••; no later IA registration on IAPDMar 3, 2025 · Advisor departure · fact
- M•• C•••••••• L•• filed its initial SEC registration (Form ADV)Oct 13, 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