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
1••• A•••• M••••••••• L••
Latest filing Jun 16, 2026
First filing on the tape May 27, 2022 · 9 filings
SEC status approved since Jun 27, 2022
RAUM
$2.7B
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
67
37 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.7B as of Jun 16, 2026
Mar 30, 2023$444M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Mar 30, 20230 then
Employees (5.A)67 as of Jun 16, 2026
Mar 30, 202372 then
Private funds14 as of Jun 16, 2026
Mar 30, 20233 then
RAUM +17% over the last fiscal year+83% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jun 16, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $338MderivedRAUM 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
- +17%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=13.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••• C•• 2• L••• | Securitized Asset Fund | $413M | 9 | Mar 30, 2023 |
| 1••• C•• 3• L••• | Securitized Asset Fund | $413M | 8 | Mar 30, 2023 |
| 1••• C•• 1• L••• | Securitized Asset Fund | $405M | 8 | Mar 30, 2023 |
| 1••• P••• A••••• C•• 1• L••• | Securitized Asset Fund | $139M | 8 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••• M•••• W•••••• · Co-Chief Financial Officercontrolsince 02/2022 · owns less than 5%
- F••••• P•••• F•••••••• · Chief Operating Officercontrolsince 02/2022 · owns less than 5%
- K••••••• A•••• K••• · Chief Legal Officer & Global G•••••• Counselcontrolsince 02/2022 · owns less than 5%
- K••••••• S•••••• M••• · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- L•••••• M•••••• · Co-Chief Financial Officercontrolsince 02/2022 · owns less than 5%
- M•••••••• G•••••• M•••• · Executive Chairmancontrolsince 02/2022 · owns less than 5%
- M•••••••• J•••••• G••••• · Ceocontrolsince 02/2022 · owns less than 5%
- R•••••• C•••••• O••••• · Chief Administrative Officercontrolsince 02/2022 · owns less than 5%
- M•••••••• G•••••• M•••• · Executive Chairmancontrolsince 07/1988 · owns 75% or more of M••••••• • C••• I•••
Entity owners
- M••••••• • C••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••••• • C•• •••••••• L••••••broker-dealerinvestment adviserbankpooled vehicle sponsorn
- M••••••• • C•• •••••• P••• L••••••investment advisern
- M••••••• • C•• ••••••••• P••• L••••••broker-dealerinvestment adviserbankn
- M••••••• • C•• ••••••••• A•broker-dealerinvestment advisern
- M••••••• • C•• L••••••broker-dealerinvestment adviserbankn
- M••••••• • C•• S•• S•••••broker-dealerinvestment adviserbankpooled vehicle sponsorn
- M••••••• • C••• I•••investment adviserbankyRAUM $31B
- M••••••• A••••••••• I••••••••• F•••• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• A••• P•••••• P•••••• D••• I• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• A••••••• S•••••• O••••••••• I• G•••••• P••••••• S•• R•••bankpooled vehicle sponsorn
- M••••••• B•• A••••••• L••investment adviserbanknRAUM $221M
- M••••••• C•••••• L••broker-dealern
- M••••••• D••••• L•••••• A••••••• L••investment adviserbanknRAUM $98.0M
- M••••••• D••••••••• E••••••••• C••••• I• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• E••••••• P•••••• D•••• S•• R•••pooled vehicle sponsorn
- M••••••• E••••••• S••••• S•••••• P•••••• D••• I• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• G••••• P•••••• D••• F••••• I• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• H••• I••••• F••••••• R••• F••• G•• L••bankpooled vehicle sponsorn
- M••••••• P••••••••• P•••••• D••• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• P••••••••• P•••••• D••• I• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• P••••••••• P•••••• D••• I•• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• U• P•••••• D••• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
- M••••••• U• P•••••• D••• I• G•••••• P••••••• S•• R•••pooled vehicle sponsorn
Advisers that list 1••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Palm Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- p•••••• fund count surgeChange between filings · filing Mar 26, 2026private funds (Schedule D 7.B.1) moved from 6.0 to 14.0 (+133.0%) between the annual amendments of 2025-03-27 and 2026-03-26; the peer median change was 0.0% (1022 comparable advisers, 99.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 6 to 8Dec 24, 2025 to Mar 26, 2026
- BD registered reps · 14 to 13Dec 24, 2025 to Mar 26, 2026
- Pooled vehicle clients · 6 to 8Dec 24, 2025 to Mar 26, 2026
- Employees · 69 to 67Dec 24, 2025 to Mar 26, 2026
- Other offices · 1 to 0Dec 24, 2025 to Mar 26, 2026
- Private funds · 11 to 14Dec 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $2.3B to $2.7BDec 24, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $2.3B to $2.7BDec 24, 2025 to Mar 26, 2026
- RAUM · $2.3B to $2.7BDec 24, 2025 to Mar 26, 2026
- Private funds · 6 to 11Jun 17, 2025 to Dec 24, 2025
- Financial planning clients · unset to Mar 27, 2025 to Jun 17, 2025
- Accounts · 3 to 6Jun 5, 2024 to Mar 27, 2025
- Advisory employees · 33 to 37Jun 5, 2024 to Mar 27, 2025
- BD registered reps · 15 to 14Jun 5, 2024 to Mar 27, 2025
- Pooled vehicle clients · 3 to 6Jun 5, 2024 to Mar 27, 2025
- Employees · 70 to 69Jun 5, 2024 to Mar 27, 2025
- Private funds · 4 to 6Jun 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.2B to $2.3BJun 5, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.2B to $2.3BJun 5, 2024 to Mar 27, 2025
- RAUM · $1.2B to $2.3BJun 5, 2024 to Mar 27, 2025
- Advisory employees · 37 to 33Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 16 to 15Mar 30, 2023 to Mar 28, 2024
- Employees · 72 to 70Mar 30, 2023 to Mar 28, 2024
- Private funds · 3 to 4Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $444M to $1.2BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $444M to $1.2BMar 30, 2023 to Mar 28, 2024
- RAUM · $444M to $1.2BMar 30, 2023 to Mar 28, 2024
- Accounts · unset to 3.0May 27, 2022 to Mar 30, 2023
- Advisory employees · 38 to 37May 27, 2022 to Mar 30, 2023
- Business name · S••••• W••• C•••••• M••••••••• L•• to 1••• A•••• M••••••••• L••May 27, 2022 to Mar 30, 2023
- Pooled vehicle clients · 0 to 3May 27, 2022 to Mar 30, 2023
- Employees · 74 to 72May 27, 2022 to Mar 30, 2023
- Legal name · S••••• W••• C•••••• M••••••••• L•• to 1••• A•••• M••••••••• L••May 27, 2022 to Mar 30, 2023
- Private funds · unset to 3May 27, 2022 to Mar 30, 2023
- Discretionary RAUM · unset to 443781317.0May 27, 2022 to Mar 30, 2023
- Non-discretionary RAUM · unset to 0.0May 27, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · unset to 443781317.0May 27, 2022 to Mar 30, 2023
- RAUM · unset to 443781317.0May 27, 2022 to Mar 30, 2023
Signals
7 dated events
- 1••• A•••• M••••••••• L•• reported RAUM $2.3B, up 88% from $1.2B (2024-06-05 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Kyle Adam Kaufman (Chief Legal Officer & Global General Counsel) appeared on Schedule A of 1••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- 1••• A•••• M••••••••• L•• reported RAUM $1.2B, up 177% from $443.8M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- George Justin Muzinich (Ceo) appeared on Schedule A of 1••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Charles Fenton Tom (Head Of Strategy And Human Capital Of Sole Member) no longer on Schedule A of 1••• A•••• M••••••••• L•• (listed 2022-05-27, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Theresa Annmarie Baker (Director Of Sole Member) no longer on Schedule A of 1••• A•••• M••••••••• L•• (listed 2022-05-27, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- S••••• W••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 27, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/muzinich-coreportedpublic record, Form ADV, Sep 18, 2026
- Website
- muzinich.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-888-3413reportedpublic record, Form ADV, Jun 16, 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
- Asset manager (funds and pooled vehicles)deriveda 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