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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Former SEC-registered adviser
M•••••••• A••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 2, 2024 · 7 filings
SEC status approved since Apr 12, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Mar 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20250 then
Employees (5.A)16 as of Mar 31, 2026
Mar 28, 202516 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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, performance-basedreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J•••• P•••••• · Chief Executive Officercontrolsince 04/2024 · owns less than 5%
- S•••••• A•••••• L••••••• · Chief Financial Officercontrolsince 04/2024 · owns less than 5%
- F••••••••• J•••• P•••••• · M••••••controlsince 02/2021 · owns 25% to 50% of M••••••••• B••••• C••••••
- K••••• B••••• D•••• · M••••••controlsince 02/2021 · owns 25% to 50% of M••••••••• B••••• C••••••
- V•••••• J••••• E••••• · Membercontrolsince 10/2021 · owns 50% to 75% of M••••••• M•••••• F•••••• L•
- D••••••••• M•••• J••••• · Chief Compliance Officersince 04/2024 · owns less than 5%
Entity owners
- M•••••••• A••••••• G•• L•• · General Partnerdirect · owns less than 5%
- M••••••••• B••••• C•••••• · Limited Partnerdirect · owns 50% to 75%
- M••••••• M•••••• H•••••••• L• · M••••••indirect · owns 75% or more of M••••••• C••••• P•••••••
- M••••••• M•••••• H•••••••• L• · M••••••indirect · owns 75% or more of M••••••• U• A••••••• L•••
- M••••••••• B••••• C••••••• L•• · Memberindirect · owns 75% or more of M•••••••• A••••••• G•• L••
- M••••••• C••••• P••••••• · Limited Partnerdirect · owns 10% to 25%
- M••••••• U• A••••••• L••• · Limited Partnerdirect · owns 10% to 25%
- M••••••• M•••••• F•••••• L• · Limited Partnerindirect · owns 75% or more of M••••••• M•••••• H•••••••• L•
Related persons
Schedule D 7.A
- M•• E••••• P••••••• I•• L••pooled vehicle sponsorn
- M•• E••••• P••••••• I••• L••pooled vehicle sponsorn
- M•• S••• L••pooled vehicle sponsorn
- M••••••• A••••••• R••••• C••••• F••• G•• L•pooled vehicle sponsorn
- M••••••• A••••••••• I•• L•••pooled vehicle sponsorn
- M••••••• A••••••••• S••• M••••••• P••••••• S••••••••• P••••••••pooled vehicle sponsorn
- M••••••• A••••••••• S••• M••••••• P••••••• S••••••••• P•••••••• I•pooled vehicle sponsorn
- M••••••• A••••••••• S••• M••••••• P••••••• S••••••••• P•••••••• I••pooled vehicle sponsorn
- M••••••• A••••••••• V• L•••pooled vehicle sponsorn
- M••••••• A••••••••• V•• L•••pooled vehicle sponsorn
- M••••••• C••••• P•••••••investment adviserbankpooled vehicle sponsoryRAUM $8.5B
- M••••••• C••••• I•• G•• L•pooled vehicle sponsorn
- M••••••• C••••• O••••••••• F••• G• L•pooled vehicle sponsorn
- M••••••• M•••• A•••• C••••• F••• G•• L••pooled vehicle sponsorn
- M••••••• T••••••• C••••• F••• I• G•• L•pooled vehicle sponsorn
- M••••••• T••••••• C••••• F••• I•• G•• L•pooled vehicle sponsorn
- M••••••• T••••••• S•••••••• F••• G•• L•pooled vehicle sponsorn
- M••••••• U• A•••••• H•••••••• L••pooled vehicle sponsorn
- M••••••• U• A••••••• L•••investment adviserpooled vehicle sponsoryRAUM $3.7B
- M••••••••• B••••• C••••••• L••pooled vehicle sponsory
- S••••• E••••• P•••••••• L••pooled vehicle sponsorn
- M••••••••• B••••• C••••••investment adviserpooled vehicle sponsornRAUM $717M
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Financial planning clients · unset to Aug 6, 2024 to Mar 28, 2025
- Employees · 12 to 16Apr 11, 2024 to Aug 6, 2024
- Other offices · 0 to 1Apr 11, 2024 to Aug 6, 2024
- Accounts · 1 to 0Feb 2, 2024 to Apr 10, 2024
- Advisory employees · 0 to 12Feb 2, 2024 to Apr 10, 2024
- Employees · 0 to 12Feb 2, 2024 to Apr 10, 2024
- Other offices · 2 to 0Feb 2, 2024 to Apr 10, 2024
- Discretionary RAUM · $2 to $0Feb 2, 2024 to Apr 10, 2024
- RAUM · $2 to $0Feb 2, 2024 to Apr 10, 2024
Signals
6 dated events
- M•••••••• A••••••• L• no longer on the SEC adviser roster (last listed 2026-07-01)Aug 3, 2026 · Left the SEC roster · derived
- Daniel Michael West (Chief Compliance Officer & Chief Financial Officer) no longer on Schedule A of M•••••••• A••••••• L• (listed 2024-02-02, absent 2024-04-10)Apr 10, 2024 · Control person left · inference
- J••••• M••• D•••••••• (Chief Compliance Officer) appeared on Schedule A of M•••••••• A••••••• L•Apr 10, 2024 · Control person joined · fact
- Lawrence Andrew Spring (Chief Financial Officer) appeared on Schedule A of M•••••••• A••••••• L•Apr 10, 2024 · Control person joined · fact
- Edward James Virtue (Member) appeared on Schedule A of M•••••••• A••••••• L•Apr 10, 2024 · Control person joined · fact
- M•••••••• A••••••• L• filed its initial SEC registration (Form ADV)Feb 2, 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.
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
- Former SEC-registered adviserderiveda 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