DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M••••••• F•••••••• S••••••••

M••••••• F•••••••• S••••••••, LLC, CRD 158032

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Search this name across graphsid dfx:ria:dd120b90-26ec-48bf-f306-817bf6b48627

Data as of Mar 7, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 19, 2012 to Mar 7, 2019
13 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: $4.3M••• Locked
Discretionary RAUM: $4.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• J•••••••• S••••	MEMBER/CHIEF COMPLIANCE OFFICER	C	yes	05/2011	Apr 19, 2012	Mar 7, 2019
B•••••• S••••••• R•••••••	President	C	yes	05/2011	Feb 6, 2014	Mar 7, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 7, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$4.3M	$6.8M	-36.6%	$12.0M	-29.0%	3	3	0	0

Relationships

Controls (2)

← B•••••• S••••••• R•••••••OwnerPRESIDENT, ownership code C, individual
Feb 6, 2014 to presentfactForm ADV
← A•••••• J•••••••• S••••OwnerMEMBER/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Apr 19, 2012 to presentfactForm ADV

Owns (3)

← M•••••• A••••• R•••OwnerTRUSTEE, ownership code D, individual
Aug 6, 2015 to presentfactForm ADV
← M•••••• S•••••• F••••••OwnerTRUSTEE, ownership code D, individual

Dated events

Occurred
Feb 6, 2014
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd120b90-26ec-48bf-f306-817bf6b48627
First observed: Apr 19, 2012
Last observed: Mar 7, 2019 91 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.