DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

M••••••

M•••••• LLC, CRD 309397

BOULDER, CO

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Search this name across graphsid dfx:ria:31a24389-b431-8d16-1068-a352f5c89c2e

Data as of Jul 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 13
On other graphs: 0
Observed: Jun 1, 2020 to Jul 16, 2026
32 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.1M••• Locked
Discretionary RAUM: $0
Private client RAUM: $2.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 35

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••• A••••••• S••••••• I••	Member	C	yes	06/2018	Mar 31, 2023	Oct 7, 2024
N•••• V••••• B••••••••	MANAGING MEMBER	E	yes	06/2018	Jun 1, 2020	Oct 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••• G••• I•••	n/a	Other adviser	$30.9M	N	yes	n/a
T•••• P•••••• M•••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.1M	$2.2M	-3.2%	$1.3M	19.1%	35	46	0	0

Relationships

Affiliated with (3)

← T•••• G•••Registered adviserother investment adviser, common control
factForm ADV
→ T•••• G•••Registered adviserother investment adviser, common control
factForm ADV
← T•••• G••• L••Registered adviserother investment adviser, common control
factForm ADV

Registered with (1)

← A•••••••• E••• L•••

Dated events

Occurred
Oct 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:31a24389-b431-8d16-1068-a352f5c89c2e
First observed: Jun 1, 2020
Last observed: Jul 16, 2026 2 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.