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 Apr 9, 2025
First filing on the tape Nov 2, 2023 · 7 filings
SEC status approved since Nov 8, 2024
RAUM
$400M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$400M as of Apr 9, 2025
Mar 26, 2024$700M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2025
Mar 26, 20240 then
Employees (5.A)3 as of Apr 9, 2025
Mar 26, 20243 then
Private funds1 as of Apr 9, 2025
Mar 26, 20241 then
RAUM -43% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 2025; 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
- $400MderivedRAUM 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
- -43%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$400M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• B••• G••••• F••• H•••••• I• L•• | Real Estate Fund | $400M | 30 | Sep 23, 2024 |
| S•• B••• G••••• F••• | Real Estate Fund | $0 | 30 | Nov 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M••••• R•••••• B•••••• · Managing Membercontrolsince 10/2018 · owns less than 5%
- M••••• R•••••• B•••••• · Managing Membercontrolsince 10/2018 · owns 75% or more of M•••• C•••••• P•••••••• L••
- G••••• T•••••• E• · Chief Compliance Officersince 09/2023 · owns less than 5%
- T•••••• F••••••••• C•••••• · Chief Financial Officersince 09/2023 · owns less than 5%
Entity owners
- M•••• C•••••• P•••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 9, 2025RAUM (Item 5.F) moved from $700,000,000 to $400,000,000 (-43.0%) between the annual amendments of 2024-03-26 and 2025-04-09; the peer median change was +4.0% (1147 comparable advisers, 5.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 4.7% percentile
What changed
consecutive filings, newest first
- Financial planning clients · unset to Nov 4, 2024 to Apr 9, 2025
- Accounts · 0 to 1Jun 7, 2024 to Sep 23, 2024
- Discretionary RAUM · $0 to $400MJun 7, 2024 to Sep 23, 2024
- Pooled vehicle RAUM · $0 to $400MJun 7, 2024 to Sep 23, 2024
- RAUM · $0 to $400MJun 7, 2024 to Sep 23, 2024
- Accounts · 1 to 0Mar 26, 2024 to Jun 7, 2024
- Discretionary RAUM · $700M to $0Mar 26, 2024 to Jun 7, 2024
- Pooled vehicle RAUM · $700M to $0Mar 26, 2024 to Jun 7, 2024
- RAUM · $700M to $0Mar 26, 2024 to Jun 7, 2024
Signals
2 dated events
- M•• A•••••••• L•• reported RAUM $0, down 100% from $700.0M (2024-03-26 to 2024-06-07)Jun 7, 2024 · RAUM change · derived
- M•• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 2, 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
- Principal office phone
- 610-897-0900reportedpublic record, Form ADV, Apr 9, 2025
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
M•• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
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.
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