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••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Nov 4, 2024 · 4 filings
SEC status approved since Dec 3, 2024
RAUM
$459M
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
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$459M as of Mar 6, 2026
Mar 24, 2025$392M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 24, 20250 then
Employees (5.A)13 as of Mar 6, 2026
Mar 24, 202513 then
Private funds3 as of Mar 6, 2026
Mar 24, 20253 then
RAUM +17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 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
- $153MderivedRAUM 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
- +17%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
- 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)
- 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
- Pooled investment vehicles$459M100%
- 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
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• C•••••• L• | Private Equity Fund | $273M | 54 | Nov 4, 2024 |
| M••••• C•••••• I••• L• | Private Equity Fund | $44.2M | 27 | Nov 4, 2024 |
| M••••• C•••••• I•• L• | Private Equity Fund | $36.8M | 8 | Nov 4, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••• M••••••• S••••••• · Ownercontrolsince 11/2024 · owns 50% to 75%
- K•••••• E••••••••• H•••••• · Ownercontrolsince 11/2024 · owns 50% to 75%
- B•••••••• D•••••• L••• · Chief Compliance Officersince 11/2024 · owns less than 5%
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
- Discretionary RAUM · $392M to $459MMar 24, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $392M to $459MMar 24, 2025 to Mar 6, 2026
- RAUM · $392M to $459MMar 24, 2025 to Mar 6, 2026
- Employees · 10 to 13Nov 11, 2024 to Mar 24, 2025
- Financial planning clients · unset to Nov 11, 2024 to Mar 24, 2025
- Discretionary RAUM · $354M to $392MNov 11, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $354M to $392MNov 11, 2024 to Mar 24, 2025
- RAUM · $354M to $392MNov 11, 2024 to Mar 24, 2025
Signals
1 dated events
- M••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 4, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Mizzen Management, LLC · Independent Sponsorsshared crd · capital_provider
- M••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-293-7820reportedpublic record, Form ADV, Mar 6, 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