DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M•••••• S•••••••••

M•••••• S•••••••••, LC, CRD 114949

S•••••••••, AZ

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Search this name across graphsid dfx:ria:25ec4a77-28bf-9f65-95b2-24fa1ac5092c

Data as of Jul 15, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Jul 15, 2013
5 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: $2.1B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• F••••• E•••••	CHAIRMAN OF THE BOARD	C	yes	07/1993	Mar 21, 2012	Jul 15, 2013
F•••• W••••••• K••••	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	Na	yes	09/2005	Mar 21, 2012	Jul 15, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• I••••••••• A•••••••• L••	n/a	Mixed wealth	$14B	N	yes	n/a
M•••••• A•••• M••••••••• L••	n/a	Asset manager	$4.9B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 20, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$2.1B	$2.0B	4.1%	n/a	n/a	8	n/a	n/a	n/a

Relationships

Affiliated with (5)

→ M•••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M•••••• I••••••••• H•••••••• I••Registered adviserother investment adviser, control, common control
factForm ADV
→ N•••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••• A•••• M•••••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25ec4a77-28bf-9f65-95b2-24fa1ac5092c
First observed: Mar 21, 2012
Last observed: Jul 15, 2013 160 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.