DFX Intelligence

RIA Intelligence

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M•••••• I••••••••• A••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered

Asset manager (funds and pooled vehicles), reporting $160M of regulatory assets.

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

Regulatory AUM
$160M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+8.5%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 329596 · SEC 801-131136 · 13 filingsShow
CRD 329596SEC 801-131136First filing on the tape Feb 13, 2024, latest Sep 14, 2026SEC status approved since Sep 17, 2024IAPD
RAUM
$160M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$158M as of Jun 30, 2026
Feb 10, 2025$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Feb 10, 20250 then
Employees (5.A)2 as of Jun 30, 2026
Feb 10, 20255 then
Private funds: no history
RAUM +8.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 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
$160MderivedRAUM 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
+2.4%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 assetsreportedItem 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
  • 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$160M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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= related_bank= 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• K•••••• M•••••• · Chief Compliance Officercontrol
        since 06/2024 · owns less than 5%
      • B•••••• M••••••• W•••••• · Chief Operating Officer And Treasurercontrol
        since 12/2023 · owns less than 5%
      • L•••••• S•••••••• C••••• · Chief Financial Officer And Secretarycontrol
        since 12/2023 · owns less than 5%
      • N•••••• T••••••• L••••• · Chief Executive Officercontrol
        since 12/2023 · owns less than 5%
      • N•••••• T••••••• L••••• · Sole Shareholdercontrol
        since 09/2023 · owns 75% or more of M•• C•••••• G••••• I•••
      Entity owners
      • M•• C•••••• G••••• I••• · Sole 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
      • Financial planning clients · to unset
        Jun 30, 2026 to Sep 14, 2026
      • HQ city · to unset
        Jun 30, 2026 to Sep 14, 2026
      • HQ state · to unset
        Jun 30, 2026 to Sep 14, 2026
      • Discretionary RAUM · $158M to $160M
        Jun 30, 2026 to Sep 14, 2026
      • RAUM · $158M to $160M
        Jun 30, 2026 to Sep 14, 2026
      • Related adviser · false to unset
        Jun 30, 2026 to Sep 14, 2026
      • Related bank · false to unset
        Jun 30, 2026 to Sep 14, 2026
      • Related broker-dealer · false to unset
        Jun 30, 2026 to Sep 14, 2026
      • Related insurance company · false to unset
        Jun 30, 2026 to Sep 14, 2026
      • Succession · false to unset
        Jun 30, 2026 to Sep 14, 2026
      • Advisory employees · 3 to 2
        Mar 5, 2026 to Jun 30, 2026
      • Employees · 3 to 2
        Mar 5, 2026 to Jun 30, 2026
      • Discretionary RAUM · $151M to $158M
        Mar 5, 2026 to Jun 30, 2026
      • RAUM · $151M to $158M
        Mar 5, 2026 to Jun 30, 2026
      • Advisory employees · 5 to 3
        Jan 2, 2026 to Mar 5, 2026
      • Employees · 5 to 3
        Jan 2, 2026 to Mar 5, 2026
      • Discretionary RAUM · $151M to $151M
        Jan 2, 2026 to Mar 5, 2026
      • RAUM · $151M to $151M
        Jan 2, 2026 to Mar 5, 2026
      • HQ city · SAN FRANCISCO to
        Apr 28, 2025 to Jan 2, 2026
      • HQ state · CA to
        Apr 28, 2025 to Jan 2, 2026
      • Discretionary RAUM · $148M to $151M
        Apr 28, 2025 to Jan 2, 2026
      • RAUM · $148M to $151M
        Apr 28, 2025 to Jan 2, 2026
      • Financial planning clients · unset to
        Feb 10, 2025 to Apr 28, 2025
      • Discretionary RAUM · $152M to $148M
        Dec 3, 2024 to Feb 10, 2025
      • RAUM · $152M to $148M
        Dec 3, 2024 to Feb 10, 2025
      • Accounts · 0 to 1
        Aug 26, 2024 to Dec 3, 2024
      • Advisory employees · 2 to 5
        Aug 26, 2024 to Dec 3, 2024
      • Advisory activities · 2 to 1
        Aug 26, 2024 to Dec 3, 2024
      • State-registered IARs · 2 to 0
        Aug 26, 2024 to Dec 3, 2024
      • Discretionary RAUM · $0 to $152M
        Aug 26, 2024 to Dec 3, 2024
      • RAUM · $0 to $152M
        Aug 26, 2024 to Dec 3, 2024
      • Related adviser · true to false
        Aug 26, 2024 to Dec 3, 2024
      • Advisory activities · 1 to 2
        Aug 23, 2024 to Aug 26, 2024
      • Advisory employees · 0 to 2
        Aug 21, 2024 to Aug 23, 2024
      • State-registered IARs · 0 to 2
        Aug 21, 2024 to Aug 23, 2024
      • Advisory employees · 2 to 0
        Aug 19, 2024 to Aug 21, 2024
      • State-registered IARs · 3 to 0
        Aug 19, 2024 to Aug 21, 2024
      • Related broker-dealer · true to false
        Aug 19, 2024 to Aug 21, 2024
      • Other offices · 1 to 0
        Feb 20, 2024 to Aug 19, 2024
      Signals
      11 dated events
      • ••• Locked
        Sep 14, 2026 · ria indirect owner change · fact
      • ••• Locked
        Sep 14, 2026 · ria indirect owner change · fact
      • ••• Locked
        Sep 14, 2026 · ria indirect owner change · fact
      • ••• Locked
        Sep 14, 2026 · ria indirect owner change · fact
      • ••• Locked
        Sep 14, 2026 · ria principal change · derived
      • ••• Locked
        Sep 14, 2026 · ria principal change · derived
      • ••• Locked
        Sep 14, 2026 · Control person left · inference
      • ••• Locked
        Sep 14, 2026 · Control person left · inference
      • ••• Locked
        Aug 19, 2024 · Control person joined · fact
      • ••• Locked
        Aug 19, 2024 · Control person left · inference
      • ••• Locked
        Feb 13, 2024 · 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
      ••• Lockedreportedpublic record, Form ADV, Sep 14, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026