DFX Intelligence

M•• C•••••• M••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

M•• C•••••• M••••••••• I••

CRD 110472

SUMMIT, NJ

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Search this name across graphsid dfx:ria:0fbab3b1-7844-a1e8-7998-3739cb16114d

Data as of Feb 23, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 8
On other graphs: 0
Observed: Mar 16, 2012 to Feb 23, 2024
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $522M••• Locked
Discretionary RAUM: $492M
Private client RAUM: $452Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• J•••• E•••••	CHAIRMAN/CEO	E	yes	05/1997	Mar 16, 2012	Feb 23, 2024
C•••••••• M••••••• J•••	CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER	Na	no	05/2019	Jul 29, 2019	Feb 23, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$522M	$454M	14.9%	$530M	-0.5%	6	6	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	4	Nov 21, 2024	Nov 12, 2024	SUMMIT, NJ	Firm absorbed	RIA to ibd	100.0%

Relationships

Controls (1)

← M••••••• J•••• E•••••OwnerCHAIRMAN/CEO, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV

Owns (3)

← D••••••• P•••• M••••••OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Jan 27, 2023 to presentfactForm ADV
← C•••••••• M••••••• J•••OwnerCHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 29, 2019 to presentfactForm ADV
← W•••••• A•••• B•••••OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual

Dated events

Occurred
Nov 21, 2024
Firm absorbed
M•• C•••••• M••••••••• I••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Summit, NJ): 4 of 4 registered, on the same day
Form ADVobserved 7 days ago
4 advisors
Occurred
Nov 21, 2024
Advisor changed firm
Amos Warren left M•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-12)
Form ADVobserved 7 days ago
Occurred
Nov 21, 2024
Advisor changed firm
Paul Desisto left M•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0fbab3b1-7844-a1e8-7998-3739cb16114d
First observed: Mar 16, 2012
Last observed: Feb 23, 2024 31 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.