DFX Intelligence
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SEC-registered adviser
M•••••• C•••••• A•••••••
Legal name M•••••• C•••••• A••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Jul 1, 2025 · 4 filings
SEC status approved since Jul 28, 2025
RAUM
$163M
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
21
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$163M as of Apr 15, 2026
Jul 1, 2025$95.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Jul 1, 20250 then
Employees (5.A)21 as of Apr 15, 2026
Jul 1, 202515 then
Private funds5 as of Apr 15, 2026
Jul 1, 20255 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 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
- $32.5MderivedRAUM 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 pooled vehiclesreportedItem 5.G
- Custody
- $163M, 5 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$163M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 5 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
- G••••••••• J••• L•••• · Svp/Treasurercontrolsince 05/2024 · owns less than 5%
- K•••••• C••••• H••••• · Executive Vice Presidentcontrolsince 05/2024 · owns less than 5%
- R•••••••• T•••• M•••••• · President/Ceocontrolsince 05/2024 · owns less than 5%
- S•••••• J••••• V••••• · Senior Vice Presidentcontrolsince 05/2024 · owns less than 5%
- S•••••••• A••••••••• D•••• · Executive Vice Presidentcontrolsince 05/2024 · owns less than 5%
- F••••• B••••••• J••••• · Chief Compliance Officersince 04/2026 · owns less than 5%
Entity owners
- M•••••• A•••••• H••••• L•• · Shareholderdirect · 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
- Advisory employees · 5 to 11Nov 19, 2025 to Mar 30, 2026
- Assets in custody · $125M to $163MNov 19, 2025 to Mar 30, 2026
- Employees · 15 to 21Nov 19, 2025 to Mar 30, 2026
- Legal name · M•••••• ADVISER LLC to M•••••• C•••••• A••••••• L••Nov 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $125M to $163MNov 19, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $125M to $163MNov 19, 2025 to Mar 30, 2026
- RAUM · $125M to $163MNov 19, 2025 to Mar 30, 2026
- Related adviser · false to trueNov 19, 2025 to Mar 30, 2026
- Assets in custody · $95.5M to $125MJul 1, 2025 to Nov 19, 2025
- Discretionary RAUM · $95.5M to $125MJul 1, 2025 to Nov 19, 2025
- Pooled vehicle RAUM · $95.5M to $125MJul 1, 2025 to Nov 19, 2025
- RAUM · $95.5M to $125MJul 1, 2025 to Nov 19, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M•••••• C•••••• A••••••• · Independent Sponsorsshared crd · capital_provider
- M•••••• C•••••• A••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (773) 404-2827reportedpublic record, Form ADV, Apr 15, 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