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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M1 CAPITAL MANAGEMENT LLC

M1 CAPITAL MANAGEMENT, CRD 158269

TROY, MI

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:87a2fbaf-99a2-468a-1ec6-2f98dd996487

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 4
On other graphs: 0
Observed: Nov 10, 2011 to Mar 23, 2026
42 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=0.89 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $450MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $450M
Private client RAUM: $401MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $75.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,020
Individual clients: 278
High net worth clients: 105
SEC number: 801-72578
CRD: 158269
Filings on the tape: 42
First filed: Nov 10, 2011
Latest filed: Mar 23, 2026
Organised: Limited Liability Company, MI
Website: m1capitalmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT JAMES STAPLETON	n/a	BLOOMFIELD HILLS, MI	15	15	1	no
PAUL REED DUNBAR	n/a	BLOOMFIELD HILLS, MI	0	38	1	no
DOUGLAS ANDERS COOK	n/a	TROY, MI	0	15	3	no

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
DUNBAR, PAUL, REED	Partner	D	yes	06/2011	Nov 10, 2011	Dec 4, 2024
MALLOCH CAPITAL MANAGEMENT, INC.	Owner	D	yes	12/2020	Jan 12, 2021	Dec 4, 2024
MALLOCH, RYAN, L	Partner	D	yes	12/2020	Jan 8, 2021	Dec 4, 2024
MALLOCH, RYAN, L	PARTNER AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Jan 8, 2021	Dec 4, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
THIRD SIGMA INVESTMENT ADVISORS LLC	n/a	Mixed wealth	$98.8M	N	yes	n/a
M1 WEALTH ADVISORS	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Novi	Mi	United States	4	no
Troy	Mi	United States	4	no

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
2025	Mar 23, 2026	$450M	$450M	12	6	1	n/a	n/a
2024	Feb 13, 2025	$406M	$406M	11	5	2	n/a	n/a
2023	Mar 26, 2024	$339M	$339M	12	5	2	n/a	n/a
2022	Mar 31, 2023	$277M	$277M	9	5	2	n/a	n/a
2021	Mar 9, 2022	$262M	$262M	7	5	0	n/a	n/a
2020	Mar 18, 2021	$211M	$211M	5	3	1	n/a	n/a
2019	Mar 26, 2020	$251M	$251M	6	4	1	n/a	n/a
2018	Mar 5, 2019	$237M	$237M	6	4	1	n/a	n/a
2017	Mar 14, 2018	$239M	$239M	6	4	3	n/a	n/a
2016	Mar 15, 2017	$258M	$258M	6	4	n/a	n/a	n/a
2015	Mar 1, 2016	$262M	$262M	6	4	n/a	n/a	n/a
2014	Mar 17, 2015	$221M	$221M	5	3	n/a	n/a	n/a
2013	Feb 19, 2014	$214M	$214M	5	3	n/a	n/a	n/a
2012	Feb 27, 2013	$178M	$178M	4	2	n/a	n/a	n/a
2011	Mar 6, 2012	$197M	$197M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	3	0

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
2025	$450M	$406M	10.9%	$277M	17.6%	12	11	1	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA ADVISORS LLC	2	Mar 21, 2024	Feb 3, 2022	MILFORD, MI	Team lift out	Ibd to RIA	1.3%

Relationships

Affiliated with (2)

← THIRD SIGMA INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ THIRD SIGMA INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (8)

← DOUGLAS ANDERS COOKAdvisorregistration: current employment
Nov 26, 2025 to presentfactForm ADV
← PAUL REED DUNBARAdvisorregistration: current employment
Oct 21, 2025 to presentfactForm ADV
← Jacob SmithAdvisorregistration: current employment
Jun 9, 2025 to presentfactForm ADV
← Antonio DeSanoAdvisorregistration: current employment
Feb 3, 2022 to presentfactForm ADV
← RYAN L MALLOCHAdvisorregistration: current employment
Jan 20, 2021 to presentfactForm ADV
← ROBERT JAMES STAPLETONAdvisorregistration: current employment
Sep 16, 2011 to presentfactForm ADV
← CHARLES EDMUND DILLONAdvisorregistration: previous registration
Apr 18, 2022 to Nov 15, 2022factForm ADV
← MARK DANIEL LABLANCEAdvisorregistration: previous registration
Jun 4, 2015 to Jan 4, 2021factForm ADV

Controls (3)

← DUNBAR, PAUL, REEDOwnerPARTNER, ownership code D, individual
Nov 10, 2011 to Dec 4, 2024factForm ADV
← MALLOCH, RYAN, LOwnerPARTNER, ownership code D, individual
Jan 8, 2021 to Dec 4, 2024factForm ADV
← MALLOCH CAPITAL MANAGEMENT, INC.OwnerOWNER, ownership code D, domestic entity
Jan 12, 2021 to Dec 4, 2024factForm ADV

Moved with (1)

← CETERA ADVISORS LLCRegistered adviser2 advisors, team lift out, same day
Mar 21, 2024 to Feb 3, 2022factForm ADV

Dated events

Occurred
Mar 21, 2024
Team lift-out
2 advisors left Cetera Advisors LLC (Milford, MI) for M1 Capital Management LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Nov 15, 2022
Advisor changed firm
Charles Edmund Dillon left M1 Capital Management Llc for Truadvice Llc (registered 2022-11-02)
Form ADVobserved 4 days ago
Occurred
Jan 8, 2021
Control person joined
L Ryan Malloch (Partner) appeared on Schedule A of M1 Capital Management Llc
Form ADVobserved 4 days ago
Occurred
Jan 8, 2021
Control person left
James Robert Stapleton (Managing Partner) no longer on Schedule A of M1 Capital Management Llc (listed 2020-06-23, absent 2021-01-08)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87a2fbaf-99a2-468a-1ec6-2f98dd996487
First observed: Nov 10, 2011
Last observed: Mar 23, 2026 6 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.

M1 CAPITAL MANAGEMENT LLC

M1 CAPITAL MANAGEMENT, CRD 158269

TROY, MI

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:87a2fbaf-99a2-468a-1ec6-2f98dd996487

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:54 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT JAMES STAPLETON

n/a

BLOOMFIELD HILLS, MI

PAUL REED DUNBAR

n/a

BLOOMFIELD HILLS, MI

DOUGLAS ANDERS COOK

n/a

TROY, MI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUNBAR, PAUL, REED

Partner

yes

06/2011

Nov 10, 2011

Dec 4, 2024

MALLOCH CAPITAL MANAGEMENT, INC.

Owner

yes

12/2020

Jan 12, 2021

Dec 4, 2024

MALLOCH, RYAN, L

Partner

yes

12/2020

Jan 8, 2021

Dec 4, 2024

MALLOCH, RYAN, L

PARTNER AND CHIEF COMPLIANCE OFFICER

yes

01/2021

Jan 8, 2021

Dec 4, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THIRD SIGMA INVESTMENT ADVISORS LLC

n/a

Mixed wealth

$98.8M

yes

n/a

M1 WEALTH ADVISORS

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Novi

United States

Troy

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$450M

n/a

2024

Feb 13, 2025

$406M

n/a

2023

Mar 26, 2024

$339M

n/a

2022

Mar 31, 2023

$277M

n/a

2021

Mar 9, 2022

$262M

n/a

2020

Mar 18, 2021

$211M

n/a

2019

Mar 26, 2020

$251M

n/a

2018

Mar 5, 2019

$237M

n/a

2017

Mar 14, 2018

$239M

n/a

2016

Mar 15, 2017

$258M

n/a

2015

Mar 1, 2016

$262M

n/a

2014

Mar 17, 2015

$221M

n/a

2013

Feb 19, 2014

$214M

n/a

2012

Feb 27, 2013

$178M

n/a

2011

Mar 6, 2012

$197M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$450M

$406M

10.9%

$277M

17.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA ADVISORS LLC

Mar 21, 2024

Feb 3, 2022

MILFORD, MI

Team lift out

Ibd to RIA

1.3%