DFX Intelligence

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M•• E••••••••• A••••••• L••

Other adviserSEC-registered2 private fundsUmbrella registration· West Hollywood, Californiawebsite

Other adviser, based in West Hollywood, California, reporting $154M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $154M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

New owner
ownership and control
M•••• C•••••• T••••••••• appeared on Schedule A as an owner on 31 Mar 2026.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →

Every filed figure, and the identifiersCRD 328135 · SEC 801-132816 · 3 filingsShow

CRD 328135SEC 801-132816First filing on the tape May 8, 2025, latest Mar 31, 2026SEC status approved since May 19, 2025IAPD

RAUM

$154M

reported, Item 5.F

Discretionary

35%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts May 8, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$154M as of Mar 31, 2026

May 8, 2025$53.9M then

HNW client RAUM$0 as of Mar 31, 2026

May 8, 2025$0 then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

May 8, 20250 then

Employees (5.A)7 as of Mar 31, 2026

May 8, 20259 then

Private funds2 as of Mar 31, 2026

May 8, 20251 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes

Institutional asset manager

The rule behind each archetype, and every derived figure1 ruleShow

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: $51.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 35%derivedof RAUM
Institutional: 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office 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, 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

65% insurance companies, 35% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

Insurance companies$100M65%
Pooled investment vehicles$54.0M35%

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: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 35% pooled funds, 65% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M•••••• F••• P••••••• L•	Private Equity Fund	$51.8M	14	Mar 31, 2026
M•••••• M•••• P••••••• L•	Private Equity Fund	$2.3M	1	Mar 31, 2026

Owners and control persons

Schedule A and B, latest filing

B••••• J••• R••••••• L•• · Directorcontrol
since 10/2025 · owns less than 5%
B••••••• C••••••• N••••• · Directorcontrol
since 08/2021 · owns less than 5%
D•••••• A•••••• C•••••• · Directorcontrol
since 01/2024 · owns less than 5%
D••••••••• C•••••• J••••• · Executive Vice President Of Finance And Technologycontrol
since 08/2021 · owns less than 5%
L••••••• M••••••• J••• · Executive Chairmancontrol
since 08/2021 · owns less than 5%

All 9 control persons

L•••••••• J•••••• H••••• · Coo And General Counselcontrol
since 10/2025 · owns less than 5%
M••••••• D•••••• D•••• · Directorcontrol
since 08/2021 · owns less than 5%
S••••• R••• B•••••• · Chief Compliance Officer, President And Head Of Credit Solutionscontrol
since 11/2023 · owns less than 5%
W••••••• C••••••••• · Chairman Of The Boardcontrol
since 08/2021 · owns less than 5%

Entity owners

M•••• C•••••• T••••••••• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2 to 3
Sep 16, 2025 to Mar 31, 2026
Advisory employees · 6 to 7
Sep 16, 2025 to Mar 31, 2026
Pooled vehicle clients · 1 to 2
Sep 16, 2025 to Mar 31, 2026
Employees · 6 to 7
Sep 16, 2025 to Mar 31, 2026
Private funds · 1 to 2
Sep 16, 2025 to Mar 31, 2026

Full history · 14 changes

Discretionary RAUM · $53.9M to $54.0M
Sep 16, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $53.9M to $54.0M
Sep 16, 2025 to Mar 31, 2026
RAUM · $154M to $154M
Sep 16, 2025 to Mar 31, 2026
Accounts · 1 to 2
May 8, 2025 to Sep 16, 2025
Advisory employees · 5 to 6
May 8, 2025 to Sep 16, 2025
Employees · 9 to 6
May 8, 2025 to Sep 16, 2025
HQ city · LOS ANGELES to WEST HOLLYWOOD
May 8, 2025 to Sep 16, 2025
Non-discretionary RAUM · $0 to $100M
May 8, 2025 to Sep 16, 2025
RAUM · $53.9M to $154M
May 8, 2025 to Sep 16, 2025

Signals

5 dated events

••• Locked
Mar 31, 2026 · private fund first reported · fact
••• Locked
Mar 31, 2026 · private fund first reported · fact
••• Locked
Sep 16, 2025 · RAUM change · derived
••• Locked
Sep 16, 2025 · ria hq relocated · fact
••• Locked
May 8, 2025 · First SEC registration · derived

Across DFX

shared identifiers only, never a name match

M•• E••••••••• A••••••• L•• · Independent Sponsors
same CRD · capital provider
M•• E••••••••• A••••••• L•• · Private Equity
same CRD · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

M•• E••••••••• A••••••• L•• is the same institution as 2 records in Private Equity and Independent Sponsors.

Private Equity1Independent Sponsors1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.