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•••••• S••••••• T••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 21, 2024 · 7 filings
SEC status approved since Sep 20, 2024
RAUM
$583M
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
13
6 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$583M as of Mar 24, 2026
Jan 23, 2025$429M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Jan 23, 20250 then
Employees (5.A)13 as of Mar 24, 2026
Jan 23, 202511 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $194MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%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
- +36%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 businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$476M82%
- State and municipal entities$106M18%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.82 institutional_share=0.18 related_bd=false related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••••• J••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- C••••••••• P••••• A• · Chief Executive Officercontrolsince 08/2024 · owns less than 5%
- D•••••• J•••••• A•• · Chief Operating Officercontrolsince 08/2024 · owns less than 5%
- K•••• Y••••••••• A•••••••• · Chief Investment Officercontrolsince 08/2024 · owns less than 5%
- C••••••••• P••••• A• · Membercontrolsince 09/2020 · owns 75% or more of M•••••• P••••••• L••
Entity owners
- M•••••• S••••••• P••••••• L•• · Sole Memberdirect · owns 75% or more
- M•••••• P••••••• L•• · Memberindirect · owns 75% or more of M•••••• S••••••• P••••••• L••
Related persons
Schedule D 7.A
- 1•• C•••••• P••••••••• L••pooled vehicle sponsorn
- 1•• R••• A•••• F••• G• L•pooled vehicle sponsorn
- M•••••• C•••••• L••investment advisernRAUM $493M
- M•••••• G•••• G• 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
- affiliate changedChange between filings · filing Mar 24, 2026bank affiliate (Item 7.A.6): no on the filing of 2026-01-30, yes on the filing of 2026-03-24peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Employees · 11 to 13Jan 30, 2026 to Mar 24, 2026
- Discretionary RAUM · $429M to $583MJan 30, 2026 to Mar 24, 2026
- Pension RAUM · 64912425.0 to unsetJan 30, 2026 to Mar 24, 2026
- RAUM · $429M to $583MJan 30, 2026 to Mar 24, 2026
- Related bank · false to trueJan 30, 2026 to Mar 24, 2026
- Financial planning clients · 0 to 0Jan 23, 2025 to Sep 24, 2025
- Accounts · unset to 3.0Nov 22, 2024 to Jan 23, 2025
- Advisory employees · 5 to 6Nov 22, 2024 to Jan 23, 2025
- Advisory activities · 1 to 2Nov 22, 2024 to Jan 23, 2025
- Employees · 8 to 11Nov 22, 2024 to Jan 23, 2025
- Financial planning clients · unset to 0Nov 22, 2024 to Jan 23, 2025
- Discretionary RAUM · unset to 428641590.0Nov 22, 2024 to Jan 23, 2025
- Non-discretionary RAUM · unset to 0.0Nov 22, 2024 to Jan 23, 2025
- Pension RAUM · unset to 64912425.0Nov 22, 2024 to Jan 23, 2025
- RAUM · unset to 428641590.0Nov 22, 2024 to Jan 23, 2025
Signals
2 dated events
- M•••••• S••••••• T••••••••• L•• reported RAUM $582.5M, up 36% from $428.6M (2026-01-30 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- M•••••• S••••••• T••••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 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
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-736-9209reportedpublic record, Form ADV, Mar 24, 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