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••••• A•••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Feb 16, 2023 · 7 filings
SEC status approved since May 7, 2026
RAUM
$56.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$18.8M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$56.3M as of Aug 28, 2026
May 6, 2026$56.3M then
HNW client RAUM$0 as of Aug 28, 2026
May 6, 2026$0 then
State-registered IARs (5.B.3)4 as of Aug 28, 2026
May 6, 20263 then
Employees (5.A)6 as of Aug 28, 2026
May 6, 20266 then
Private funds: no history
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
- RAUM per advisor
- $18.8MderivedRAUM 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
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $56.3MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$56.3M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A•••• K••• | New York, Ny | Jul 15, 2025 | 11 y | 0 |
| J••••• R•••••• L••••••••• | New York, Ny | Jul 15, 2025 | 32 y | 0 |
| P•••• G••••• G••••••• | New York, Ny | Nov 11, 2025 | 10 y | 0 |
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
- L••••••••• J•••••• R•••••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- S••••••• A••••• M••••• · Chief Executive Officer And Chief Investment Officercontrolsince 04/2024 · owns less than 5%
Entity owners
- M••••• T••••••••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••• M••••••• L••broker-dealern
- M••••• T••••••••• I•••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jul 14, 2026 to Aug 28, 2026
- State-registered IARs · 3 to 4Jul 14, 2026 to Aug 28, 2026
- Accounts · 0 to 25Apr 17, 2024 to May 6, 2026
- BD registered reps · 1 to 3Apr 17, 2024 to May 6, 2026
- Corporate clients · 0 to 25Apr 17, 2024 to May 6, 2026
- Employees · 4 to 6Apr 17, 2024 to May 6, 2026
- Financial planning clients · unset to Apr 17, 2024 to May 6, 2026
- State-registered IARs · 0 to 3Apr 17, 2024 to May 6, 2026
- Discretionary RAUM · $0 to $56.3MApr 17, 2024 to May 6, 2026
- RAUM · $0 to $56.3MApr 17, 2024 to May 6, 2026
- Wrap assets (manager) · unset to 0.0Apr 17, 2024 to May 6, 2026
- Wrap assets (sponsor) · unset to 0.0Apr 17, 2024 to May 6, 2026
- Advisory activities · 2 to 3Mar 13, 2024 to Apr 4, 2024
- Related adviser · false to trueMar 13, 2024 to Apr 4, 2024
- BD registered reps · 0 to 1Feb 16, 2023 to Mar 13, 2024
- Employees · 3 to 4Feb 16, 2023 to Mar 13, 2024
- Related broker-dealer · false to trueFeb 16, 2023 to Mar 13, 2024
Signals
5 dated events
- M••••• A•••• S•••••• (Chief Executive Officer And Chief Investment Officer) appeared on Schedule A of M••••• A•••••••• L••Apr 4, 2024 · Control person joined · fact
- Raphael Julius Leiman-Carbia (Chief Compliance Officer) appeared on Schedule A of M••••• A•••••••• L••Mar 13, 2024 · Control person joined · fact
- Gasser Dean Hathout (Shareholder) no longer on Schedule A of M••••• A•••••••• L•• (listed 2023-02-16, absent 2024-03-13)Mar 13, 2024 · Control person left · inference
- Jackson Dylan Parker (Shareholder) no longer on Schedule A of M••••• A•••••••• L•• (listed 2023-02-16, absent 2024-03-13)Mar 13, 2024 · Control person left · inference
- M••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2023 · 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
- Website
- M•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (551) 775-2340reportedpublic record, Form ADV, Aug 28, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $18.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026