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••• E•• L••
Latest filing Mar 12, 2026
First filing on the tape Dec 19, 2022 · 7 filings
SEC status approved since Jan 17, 2023
RAUM
$12.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$12.0M as of Mar 12, 2026
Feb 18, 2024$6.2M then
HNW client RAUM$0 as of Mar 12, 2026
Feb 18, 2024$0 then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Feb 18, 20242 then
Employees (5.A)2 as of Mar 12, 2026
Feb 18, 20242 then
Private funds: no history
RAUM +52% over the last fiscal yearIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
- RAUM per advisor
- $6.0MderivedRAUM 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
- $12.0MderivedRAUM 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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%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 assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$12.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- K••••••••• M•••• H••••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- M••••••••• S••••••• R••••• · Chief Investment Officercontrolsince 12/2022 · owns less than 5%
- C••••••• A•••• · Trusteecontrolsince 12/2022 · owns F of C•••••• F••••• T•••• U•• D•••• 1•••••••••
- C••••••• D••••••• F• · Trusteecontrolsince 12/2022 · owns F of D•••••• F• C•••••• T•••• U•••• D•• 3••••••••
- C••••••• M•••• · Trusteecontrolsince 12/2022 · owns F of C•••••• F••••• T•••• U•• D•••• 1•••••••••
- C•••••• J•••••• A• · Trusteecontrolsince 12/2022 · owns F of C••••• F••••• T•••• U•• D•••• 1•••••••••
- K••••••••• M•••• H••••• · Managing Member & Chief Compliance Officercontrolsince 03/2019 · owns 50% to 75% of M••••••••• • K••••••••• A•••• M••••••••• L••
- M••••••••• S••••••• R••••• · Managing Member & Chief Investment Officercontrolsince 03/2019 · owns 50% to 75% of M••••••••• • K••••••••• A•••• M••••••••• L••
- N•••••• G••••••• A• · Trusteecontrolsince 12/2022 · owns F of N••••• F••••• T•••• U•••• D•••• 3•••••••• F•• G•••••• A• N••••• A• H•• S••••••• P•••••••
- N•••••• L•••••• C• · Trusteecontrolsince 12/2022 · owns F of N••••• F••••• T•••• U•••• D•••• 3•••••••• F•• L••••• C• N••••• A• H•• S••••••• P•••••••
- R•••• J••••••• · Membercontrolsince 12/2022 · owns 75% or more of J• R••• H••••••• L••
Entity owners
- M••••••••• • K••••••••• A•••• M••••••••• L•• · Elected Managerdirect · owns 50% to 75%
- C•••••• F••••• T•••• U•• D•••• 1••••••••• · Memberdirect · owns 5% to 10%
- C••••• F••••• T•••• U•• D•••• 1••••••••• · Memberdirect · owns 5% to 10%
- D•••••• F• C•••••• T•••• U•••• D•• 3•••••••• · Memberdirect · owns 5% to 10%
- J• R••• H••••••• L•• · Memberdirect · owns 10% to 25%
- N••••• F••••• T•••• U•••• D•••• 3•••••••• F•• G•••••• A• N••••• A• H•• S••••••• P••••••• · Memberdirect · owns less than 5%
- N••••• F••••• T•••• U•••• D•••• 3•••••••• F•• L••••• C• N••••• A• H•• S••••••• P••••••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- M••••••••• • K••••••••• A•••• M••••••••• L••investment advisernRAUM $52.5M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Vista, CA1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Jun 14, 2025 to Mar 12, 2026
- Discretionary RAUM · $7.9M to $12.0MJun 14, 2025 to Mar 12, 2026
- RAUM · $7.9M to $12.0MJun 14, 2025 to Mar 12, 2026
- Financial planning clients · unset to Mar 3, 2025 to Jun 14, 2025
- Discretionary RAUM · $6.2M to $7.9MDec 6, 2024 to Mar 3, 2025
- RAUM · $6.2M to $7.9MDec 6, 2024 to Mar 3, 2025
- Discretionary RAUM · $1.0M to $6.2MApr 24, 2023 to Feb 18, 2024
- RAUM · $1.0M to $6.2MApr 24, 2023 to Feb 18, 2024
- Accounts · unset to 1.0Dec 19, 2022 to Apr 24, 2023
- Charity clients · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Corporate clients · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- HNW clients · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Individual clients · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Pension plan clients · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Pooled vehicle clients · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Discretionary RAUM · unset to 1000000.0Dec 19, 2022 to Apr 24, 2023
- HNW RAUM · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Individual RAUM · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Non-discretionary RAUM · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Pension RAUM · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- Pooled vehicle RAUM · unset to 0.0Dec 19, 2022 to Apr 24, 2023
- RAUM · unset to 1000000.0Dec 19, 2022 to Apr 24, 2023
Signals
1 dated events
- M••• E•• L•• filed its initial SEC registration (Form ADV)Dec 19, 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
- 310-988-2158reportedpublic record, Form ADV, Mar 12, 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
- $6.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026