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••• N•• Y••• C•••••••••
Latest filing May 13, 2026
First filing on the tape Jul 8, 2022 · 11 filings
SEC status approved since Aug 8, 2022
RAUM
$45B
reported, Item 5.F
Discretionary
90%
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
46
27 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$45B as of May 13, 2026
Mar 29, 2023$39B then
HNW client RAUM$0 as of May 13, 2026
Mar 29, 2023$0 then
State-registered IARs (5.B.3)0 as of May 13, 2026
Mar 29, 20230 then
Employees (5.A)46 as of May 13, 2026
Mar 29, 202343 then
Private funds: no history
RAUM -0.7% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $316MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 84%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
- -0.7%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, fixed feesreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$38B95%
- Corporations and businesses$2.2B5.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 142reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.84 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
- B•••••• T••••• · Presidentcontrolsince 07/2023 · owns less than 5%
- C••••••••• M•••• J••••• · Vice Presidentcontrolsince 10/2020 · owns less than 5%
- H••••••• O•••••• J••••• · Directorcontrolsince 11/2019 · owns less than 5%
- K••••• J•••••• S•••• · Vice Presidentcontrolsince 06/2020 · owns less than 5%
- M•••••••• A•••••• C•••••••• · Directorcontrolsince 11/2019 · owns less than 5%
- P•••••••• J••••••••• K•••• · Chief Compliance Officercontrolsince 12/2011 · owns less than 5%
- P•••• A••••••••• K••••••• · Vice Presidentcontrolsince 12/2023 · owns less than 5%
- R••••• C•••••• M•••• · Treasurercontrolsince 01/2022 · owns less than 5%
- R•••••• A••••••••• M•••••• P•••••• · Directorcontrolsince 07/2023 · owns less than 5%
- W••••••••• F••••• C•••• · Directorcontrolsince 05/2014 · owns less than 5%
Entity owners
- M••••••••• H•••••• C••••••••• · Sole Shareholderdirect · owns 75% or more
- M••••• R••••••••• C•••••• · Shareholderindirect · owns 75% or more of M••••••••• H•••••• C•••••••••
Related persons
Schedule D 7.A
- A••••••• A••••••••• I•••••••• C•••••••••real estaten
- A••••••• F••••• H••• I•••••••• C••••••real estaten
- A••••••• M••••• H••• I•••••••• C••••••real estaten
- A••••••• M••••• I•••••••• C•••••• O• F•••••• I•••real estaten
- A••••••• M••••• L••••• I•••••••• C••••••real estaten
- A••••••• M••••• P••••••• A•• C••••••• I•••••••• C••••••real estaten
- A••••••• M••••• S••••• I•••••••• C••••••real estaten
- A••••••• S••••••• H••• I•••••••• C••••••real estaten
- A••••••• W•••••• H••• I•••••••• C••••••real estaten
- B•••••••• I•••••••• C••••••real estaten
- D•••••• A•••••••• I•••••••• C••••••real estaten
- G•••• L•••• I•••••••• S•real estaten
- H•• S•••••••• I•••••••• C••••••real estaten
- M••• H••• K••• L••••••investment advisery
- M••• L••••••••• S•• R•••investment advisern
- M••• M••••• E••• A•••• M••••••••• G•••investment advisern
- M••• M••••• E••• K••••••••• M••investment advisern
- M• I••••••••• I•••pooled vehicle sponsorn
- M••••• A••••••• L••• R••••••••• C••••••real estaten
- M••••• A••••••• R••••••••• C••••••real estaten
- M••••• R• C•••••• L••••••real estaten
- M••••• R• O• B••••••• L•••real estaten
- M••••• R• O• M•••• P••real estaten
- M••••• R• U• L••• C•••••••••real estaten
- M••••• R••••••••• A••••••• I•••real estaten
- M••••• R••••••••• C••••••real estatey
- M••••• R••••••••• C•••••• O• C•••••real estaten
- N•• R••••••••• C•••••• L•••real estaten
- P•••••••• E••••• A•• S•••••• L•••• I•••••••• C••••••real estaten
- T••••• I•••••••• C••••••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 145 to 142Jan 21, 2026 to Mar 27, 2026
- Advisory employees · 26 to 27Jan 21, 2026 to Mar 27, 2026
- Employees · 45 to 46Jan 21, 2026 to Mar 27, 2026
- Discretionary RAUM · $40B to $40BJan 21, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $5.6B to $4.6BJan 21, 2026 to Mar 27, 2026
- RAUM · $45B to $45BJan 21, 2026 to Mar 27, 2026
- Accounts · 140 to 145Jan 3, 2025 to Mar 26, 2025
- Advisory employees · 24 to 26Jan 3, 2025 to Mar 26, 2025
- Employees · 42 to 45Jan 3, 2025 to Mar 26, 2025
- Financial planning clients · unset to Jan 3, 2025 to Mar 26, 2025
- Discretionary RAUM · $42B to $40BJan 3, 2025 to Mar 26, 2025
- Non-discretionary RAUM · $2.3B to $5.6BJan 3, 2025 to Mar 26, 2025
- RAUM · $44B to $45BJan 3, 2025 to Mar 26, 2025
- Accounts · 134 to 140Jul 21, 2023 to Mar 28, 2024
- Advisory employees · 22 to 24Jul 21, 2023 to Mar 28, 2024
- Corporate clients · 1 to 4Jul 21, 2023 to Mar 28, 2024
- Employees · 43 to 42Jul 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $36B to $42BJul 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $3.0B to $2.3BJul 21, 2023 to Mar 28, 2024
- RAUM · $39B to $44BJul 21, 2023 to Mar 28, 2024
- Accounts · 130 to 134Nov 4, 2022 to Mar 29, 2023
- Corporate clients · 0 to 1Nov 4, 2022 to Mar 29, 2023
- Employees · 44 to 43Nov 4, 2022 to Mar 29, 2023
- Discretionary RAUM · $39B to $36BNov 4, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $968M to $3.0BNov 4, 2022 to Mar 29, 2023
- RAUM · $40B to $39BNov 4, 2022 to Mar 29, 2023
Signals
4 dated events
- Kristian Alexander Poll (Vice President) appeared on Schedule A of M••• N•• Y••• C•••••••••Mar 28, 2024 · Control person joined · fact
- Herbert Klaus Chavanne (Vice President) no longer on Schedule A of M••• N•• Y••• C••••••••• (listed 2022-11-04, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Prashant Sharma (Director) no longer on Schedule A of M••• N•• Y••• C••••••••• (listed 2022-07-08, absent 2022-11-04)Nov 4, 2022 · Control person left · inference
- M••• N•• Y••• C••••••••• filed its initial SEC registration (Form ADV)Jul 8, 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
- Principal office phone
- 212-583-4826reportedpublic record, Form ADV, May 13, 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
- Institutional 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