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••••• C•••••• I•••
Latest filing Jul 15, 2026
First filing on the tape Sep 29, 2025 · 4 filings
SEC status approved since Nov 18, 2025
RAUM
$75.0M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$75.0M as of Jul 15, 2026
Sep 29, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Sep 29, 20250 then
Employees (5.A)4 as of Jul 15, 2026
Sep 29, 20254 then
Private funds1 as of Jul 15, 2026
Mar 27, 20262 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 15, 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
- $75.0MderivedRAUM 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
- 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $75.0M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$75.0M100%
- 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
- $75.0M for 1 clientsreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••••• J••••••• · Chief Executive Officercontrolsince 06/2026 · owns less than 5%
- K••••••••• P•••••••• H••••••••• · Director Officer / Directorcontrolsince 06/2024 · owns less than 5%
- K••••• C••••••• L••• · Directorcontrolsince 06/2026 · owns less than 5%
- S•••• M••••••• I•• · Directorcontrolsince 06/2024 · owns less than 5%
- D•• M•••••• L••••••• S••••• · Shareholdersince 05/2025 · owns 10% to 25%
- L••• M••••••• J•• Y•••• · Shareholdersince 05/2025 · owns 10% to 25%
- S••••••••• L•••• J••••• · Shareholdersince 05/2025 · owns 10% to 25%
Entity owners
- W••••••••• H••••••• I•• · Shareholderdirect · owns 50% to 75%
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
- RAUM · $75.1M to $75.0MMar 27, 2026 to Jun 3, 2026
- Accounts · 2 to 1Mar 27, 2026 to Jun 3, 2026
- Pooled vehicle clients · 2 to 1Mar 27, 2026 to Jun 3, 2026
- Private funds · 2 to 1Mar 27, 2026 to Jun 3, 2026
- Discretionary RAUM · $75.1M to $75.0MMar 27, 2026 to Jun 3, 2026
- Pooled vehicle RAUM · $75.1M to $75.0MMar 27, 2026 to Jun 3, 2026
- Accounts · 0 to 2Sep 29, 2025 to Mar 27, 2026
- Pooled vehicle clients · unset to 2.0Sep 29, 2025 to Mar 27, 2026
- Assets in custody · unset to 75000000.0Sep 29, 2025 to Mar 27, 2026
- Custody of client assets · false to trueSep 29, 2025 to Mar 27, 2026
- Private funds · unset to 2Sep 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $0 to $75.1MSep 29, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · unset to 75054774.0Sep 29, 2025 to Mar 27, 2026
- RAUM · $0 to $75.1MSep 29, 2025 to Mar 27, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M••••• C•••••• I••• · Private Equityshared crd · organization
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