DFX Intelligence
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Former SEC-registered adviser
M••••• C•••••• M••••••••• L••
Latest filing Mar 24, 2023
First filing on the tape Jan 20, 2022 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Jun 9, 2022
Jan 20, 2022$0 then
HNW client RAUM$0 as of Mar 24, 2023
Aug 23, 2022$0 then
State-registered IARs (5.B.3)5 as of Mar 24, 2023
Jan 20, 20225 then
Employees (5.A)7 as of Mar 24, 2023
Jan 20, 20227 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2023; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 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
- $92.4M, 1 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $92.4M 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• M••••••• S••••••• · Managing Partnercontrolsince 05/2019 · owns 25% to 50%
- K•••••• E••••••••• H•••••• · Managing Partner & Chief Compliance Officercontrolsince 05/2019 · owns 25% to 50%
- L•• A••••• C••• · Managing Partnersince 05/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Summit, NJ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Pooled vehicle clients · 0 to 1Aug 23, 2022 to Mar 24, 2023
- Assets in custody · $0 to $92.4MAug 23, 2022 to Mar 24, 2023
- Accounts · 0.0 to unsetJun 9, 2022 to Aug 23, 2022
- Charity clients · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Corporate clients · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- HNW clients · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Individual clients · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Pension plan clients · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Pooled vehicle clients · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Discretionary RAUM · 0.0 to unsetJun 9, 2022 to Aug 23, 2022
- HNW RAUM · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Individual RAUM · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Non-discretionary RAUM · 0.0 to unsetJun 9, 2022 to Aug 23, 2022
- Pension RAUM · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- Pooled vehicle RAUM · unset to 0.0Jun 9, 2022 to Aug 23, 2022
- RAUM · 0.0 to unsetJun 9, 2022 to Aug 23, 2022
- Other offices · 1 to 2Jan 20, 2022 to Jun 9, 2022
- Business name · M••••• C•••••• M••••••••• L•• to M••••• C•••••• M••••••••• L••Jan 20, 2022 to Jan 20, 2022
- Legal name · M••••• C•••••• M••••••••• L•• to M••••• C•••••• M••••••••• L••Jan 20, 2022 to Jan 20, 2022
Signals
1 dated events
- M••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 20, 2022 · 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