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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MTX WEALTH MANAGEMENT, LLC

CRD 142616

RESTON, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:004ee361-1d73-8dbb-3b0c-7d59330c8f30

Data as of Apr 2, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Apr 2, 2019
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

MTX Wealth Management, LLC

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $428MItem 5.F on the latest filing (2019-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $428M
Private client RAUM: $420MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 969
Individual clients: 31
High net worth clients: 48
Custody, client assets: $318M
SEC number: 801-67357
CRD: 142616
Filings on the tape: 19
First filed: Mar 29, 2012
Latest filed: Apr 2, 2019
Organised: Limited Liability Company, Virginia

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
TRAX, STEVEN, BRENT	PRESIDENT / CHIEF COMPLIANCE OFFICER	E	yes	11/2006	Mar 29, 2012	Apr 2, 2019
SMITH, BRADLEY, JON	CHIEF INVESTMENT OFFICER	Na	no	11/2010	Mar 29, 2012	Apr 2, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$428M	$428M	9	3	0	n/a	n/a
2017	Mar 30, 2018	$430M	$430M	9	3	1	n/a	n/a
2016	Mar 30, 2017	$389M	$389M	9	3	n/a	n/a	n/a
2015	Mar 29, 2016	$375M	$375M	9	3	n/a	n/a	n/a
2014	Mar 24, 2015	$342M	$342M	8	3	n/a	n/a	n/a
2013	Mar 19, 2014	$480M	$480M	10	4	n/a	n/a	n/a
2012	Mar 21, 2013	$425M	$425M	10	4	n/a	n/a	n/a
2011	Mar 29, 2012	$378M	$378M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$428M	$430M	-0.6%	$375M	4.5%	9	9	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MAI CAPITAL MANAGEMENT, LLC	3	Jun 28, 2019	Jul 23, 2019	RESTON, VA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← TRAX, STEVEN, BRENTOwnerPRESIDENT / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← SMITH, BRADLEY, JONOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Jun 28, 2019 to Jul 23, 2019factForm ADV

Registered with (5)

← STEVEN BRENT TRAXAdvisorregistration: previous registration
Mar 9, 2007 to Jun 28, 2019factForm ADV
← BRADLEY JON SMITHAdvisorregistration: previous registration
Oct 20, 2016 to Jun 28, 2019factForm ADV
← ANTHONY COMEAU DAVISAdvisorregistration: previous registration
Feb 1, 2019 to Jun 28, 2019factForm ADV
← NINA RAMO MITCHELLAdvisorregistration: previous registration
Mar 9, 2007 to Jan 8, 2015factForm ADV
← MATTHEW A RAMOSAdvisorregistration: previous registration
Apr 15, 2009 to Oct 26, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:004ee361-1d73-8dbb-3b0c-7d59330c8f30
First observed: Mar 29, 2012
Last observed: Apr 2, 2019 90 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MTX WEALTH MANAGEMENT, LLC

CRD 142616

RESTON, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:004ee361-1d73-8dbb-3b0c-7d59330c8f30

Data as of Apr 2, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TRAX, STEVEN, BRENT

PRESIDENT / CHIEF COMPLIANCE OFFICER

yes

11/2006

Mar 29, 2012

Apr 2, 2019

SMITH, BRADLEY, JON

CHIEF INVESTMENT OFFICER

11/2010

Mar 29, 2012

Apr 2, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$428M

n/a

2017

Mar 30, 2018

$430M

n/a

2016

Mar 30, 2017

$389M

n/a

2015

Mar 29, 2016

$375M

n/a

2014

Mar 24, 2015

$342M

n/a

2013

Mar 19, 2014

$480M

n/a

2012

Mar 21, 2013

$425M

n/a

2011

Mar 29, 2012

$378M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$428M

$430M

-0.6%

$375M

4.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Jun 28, 2019

Jul 23, 2019

RESTON, VA

Firm absorbed

RIA to RIA

100.0%