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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
3• M••••••••• C•• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 16, 2022 · 7 filings
SEC status approved since Dec 16, 2022
RAUM
$88.6M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$88.6M as of Mar 27, 2026
Mar 30, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20230 then
Employees (5.A)2 as of Mar 27, 2026
Mar 30, 20233 then
Private funds3 as of Mar 27, 2026
Mar 22, 20243 then
RAUM -50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $29.5MderivedRAUM 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
- -50%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
- Custody
- $88.6M, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$88.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $88.6M for 3 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••• C•••• V••••••• F•••• S••••• A• L•• | Private Equity Fund | $5.4M | 22 | Apr 14, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• F•••••• · Member, Partnercontrolsince 11/2022 · owns 50% to 75%
- G•••••• J••• N••• · Member, Partner, Chief Compliance Officercontrolsince 11/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
- I••• C•••• V••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 1Mar 24, 2025 to Mar 27, 2026
- Assets in custody · $177M to $88.6MMar 24, 2025 to Mar 27, 2026
- Employees · 5 to 2Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $177M to $88.6MMar 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $177M to $88.6MMar 24, 2025 to Mar 27, 2026
- RAUM · $177M to $88.6MMar 24, 2025 to Mar 27, 2026
- Assets in custody · $178M to $177MMar 22, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 24, 2025
- Discretionary RAUM · $178M to $177MMar 22, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $178M to $177MMar 22, 2024 to Mar 24, 2025
- RAUM · $178M to $177MMar 22, 2024 to Mar 24, 2025
- Assets in custody · $181M to $178MMar 21, 2024 to Mar 22, 2024
- Custody of client assets · false to trueMar 21, 2024 to Mar 22, 2024
- Discretionary RAUM · $181M to $178MMar 21, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $181M to $178MMar 21, 2024 to Mar 22, 2024
- RAUM · $181M to $178MMar 21, 2024 to Mar 22, 2024
- Accounts · 0 to 3Mar 30, 2023 to Apr 14, 2023
- Advisory employees · 2 to 4Mar 30, 2023 to Apr 14, 2023
- Pooled vehicle clients · unset to 3.0Mar 30, 2023 to Apr 14, 2023
- Assets in custody · unset to 181390858.0Mar 30, 2023 to Apr 14, 2023
- Employees · 3 to 5Mar 30, 2023 to Apr 14, 2023
- Private funds · unset to 3Mar 30, 2023 to Apr 14, 2023
- Discretionary RAUM · $0 to $181MMar 30, 2023 to Apr 14, 2023
- Pooled vehicle RAUM · unset to 181390858.0Mar 30, 2023 to Apr 14, 2023
- RAUM · $0 to $181MMar 30, 2023 to Apr 14, 2023
- Accounts · unset to 0.0Nov 16, 2022 to Mar 30, 2023
- Discretionary RAUM · unset to 0.0Nov 16, 2022 to Mar 30, 2023
- Non-discretionary RAUM · unset to 0.0Nov 16, 2022 to Mar 30, 2023
- RAUM · unset to 0.0Nov 16, 2022 to Mar 30, 2023
Signals
2 dated events
- 3• M••••••••• C•• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $88.6M)Jun 1, 2026 · Left the SEC roster · derived
- 3• M••••••••• C•• L•• filed its initial SEC registration (Form ADV)Nov 16, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 3• M••••••••• C•• L•• · Independent Sponsorsshared crd · capital_provider
- 3• M••••••••• C•• L•• · Private Equityshared crd · organization
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