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••• S••••• A•••••••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 43011SEC 801-54589IAPD
Legal name M••• S••••• A•••••••• I•••
Latest filing Mar 28, 2019
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$4.8B
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
67%
$3.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
64
$2.4B gross assets
History
10 filings and snapshots on the tape
RAUM$4.8B as of Mar 28, 2019
Mar 29, 2012$1.3B then
HNW client RAUM$3.2B as of Mar 28, 2019
Mar 30, 2018$2.9B then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 29, 20120 then
Employees (5.A)14 as of Mar 28, 2019
Mar 28, 20137 then
Private funds64 as of Mar 28, 2019
Mar 29, 201228 then
RAUM +11% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
$2.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$89.3MderivedHNW RAUM over HNW clients
Average account
$42.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
60%derivedof RAUM
Institutional
5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-31%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$2.9B, 76 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.2B67%
  • Pooled investment vehicles$1.3B27%
  • State and municipal entities$252M5.3%
Individual clients
0reported
HNW clients
36reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
112reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.9B for 76 clientsreported
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
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•• I••• I•••••••• L•no longer reportedOther Private Fund$96.1M1Mar 29, 2012
      M•• Y••••• W•• L•no longer reportedOther Private Fund$87.5M1Mar 29, 2012
      M•• B••••• L•no longer reportedOther Private Fund$83.7M1Mar 29, 2012
      M•• C•••••••• L••Real Estate Fund$31.9M11Mar 29, 2012
      M•• M•••••• P••••••• L•no longer reportedOther Private Fund$29.5M1Mar 29, 2012
      M•• T• I•••••••• L••no longer reportedPrivate Equity Fund$25.8M8Mar 29, 2012
      M•• R••• E••••• I•• L••Real Estate Fund$13.7M14Mar 29, 2012
      M•• C•••••••• I•••••••• 2•••• L•Private Equity Fund$11.2M12Mar 30, 2017
      M•• T•••••• I•••••••• L••no longer reportedPrivate Equity Fund$9.8M9Mar 29, 2012
      M•• E••••••••• I•••••••• L•no longer reportedPrivate Equity Fund$9.3M8Mar 27, 2015
      M•• E••••• • A•• I•••••••• L•no longer reportedPrivate Equity Fund$5.0M4Mar 29, 2016
      P••••••• I••••••••no longer reportedVenture Capital Fund$1.7M6Mar 29, 2012
      M•• C•••••••• I•••••••• L••no longer reportedHedge Fund$1.1M1Mar 27, 2015
      M•• A••••• I•••••••• L••Real Estate Fund$867,0003Mar 29, 2012
      M•• B••• P••••••• L••no longer reportedReal Estate Fund$804,00011Mar 29, 2012
      C•••••• M•• I•••••••• L••no longer reportedReal Estate Fund$346,0007Mar 29, 2012
      V••••• V•••••• I••••••••no longer reportedVenture Capital Fund$72,0004Mar 29, 2012
      M•• C•••••••• I•••••••• L••no longer reportedLiquidity Fund$20,00010Mar 29, 2012
      S••••• I•••••••• 2••• L••no longer reportedPrivate Equity Fund$7,0005Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• A••••••••• D•••• · Managing Directorcontrol
        since 10/2018 · owns 5% to 10%
      • R••••• T•••• J• · Chief Compliance Officercontrol
        since 10/2018 · owns less than 5%
      • W••••••• P•••• D•••• · Presidentcontrol
        since 02/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      • 1••• U••••••••• G• L••
        pooled vehicle sponsory
      • E••••••••• M••••••• L••
        pooled vehicle sponsory
      • M•• E••••••••• G• L••
        pooled vehicle sponsory
      • M•• M•••••• I•• L••
        pooled vehicle sponsory
      • M•• M•••••• I••• L••
        pooled vehicle sponsory
      • M•• M•••••• I• L••
        pooled vehicle sponsory
      • M•• M••••••• L••
        pooled vehicle sponsory
      • M•• S••••••••• L••
        broker-dealery
      • M••••••••• M•••••• I• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 96 to 112
        Mar 30, 2018 to Mar 28, 2019
      • Advisory employees · 6 to 12
        Mar 30, 2018 to Mar 28, 2019
      • BD registered reps · 3 to 4
        Mar 30, 2018 to Mar 28, 2019
      • HNW clients · 52 to 36
        Mar 30, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 55 to 58
        Mar 30, 2018 to Mar 28, 2019
      • Assets in custody · $2.4B to $2.9B
        Mar 30, 2018 to Mar 28, 2019
      • Employees · 9 to 14
        Mar 30, 2018 to Mar 28, 2019
      • Organization form · Corporation to Limited Liability Company
        Mar 30, 2018 to Mar 28, 2019
      • Private funds · 43 to 64
        Mar 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $2.4B to $2.9B
        Mar 30, 2018 to Mar 28, 2019
      • HNW RAUM · $2.9B to $3.2B
        Mar 30, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $1.9B to $1.9B
        Mar 30, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.4B to $1.3B
        Mar 30, 2018 to Mar 28, 2019
      • RAUM · $4.3B to $4.8B
        Mar 30, 2018 to Mar 28, 2019
      • Succession · false to true
        Mar 30, 2018 to Mar 28, 2019
      • Accounts · 80 to 96
        Mar 30, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • HNW clients · unset to 52.0
        Mar 30, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 55.0
        Mar 30, 2017 to Mar 30, 2018
      • Assets in custody · $1.5B to $2.4B
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Private funds · 40 to 43
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.5B to $2.4B
        Mar 30, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 2927860140.0
        Mar 30, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $1.3B to $1.9B
        Mar 30, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 1394911615.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $2.8B to $4.3B
        Mar 30, 2017 to Mar 30, 2018
      • Accounts · 79 to 80
        Mar 29, 2016 to Mar 30, 2017
      • Assets in custody · $1.2B to $1.5B
        Mar 29, 2016 to Mar 30, 2017
      • Employees · 6 to 9
        Mar 29, 2016 to Mar 30, 2017
      • Private funds · 34 to 40
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.3B to $1.5B
        Mar 29, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $1.5B to $1.3B
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $2.7B to $2.8B
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 71 to 79
        Mar 27, 2015 to Mar 29, 2016
      Signals
      5 dated events
      • M••• S••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 28, 2019 · Succession (Item 4) · fact
      • J Todd Rosen (Chief Compliance Officer) appeared on Schedule A of M••• S••••• A•••••••
        Mar 28, 2019 · Control person joined · fact
      • David Alexandre Cohen (Managing Director) appeared on Schedule A of M••• S••••• A•••••••
        Mar 28, 2019 · Control person joined · fact
      • Mark Christopher Fillo (Executive Vice President, Chief Compliance Officer) no longer on Schedule A of M••• S••••• A••••••• (listed 2018-03-30, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • M••• S••••• A••••••• reported RAUM $4.3B, up 55% from $2.8B (2017-03-30 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      M••• S••••• A••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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