DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B••• M••••••••• C•
Latest filing Apr 19, 2024
First filing on the tape Mar 28, 2012 · 18 filings
RAUM
$79.6M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
93%
$74.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$79.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$95.0M as of Mar 29, 2023
Mar 28, 2012$114M then
HNW client RAUM$85.6M as of Mar 29, 2023
Mar 26, 2018$99.5M then
State-registered IARs (5.B.3)1 as of Mar 29, 2023
Mar 28, 20120 then
Employees (5.A)1 as of Mar 29, 2023
Mar 26, 20131 then
Private funds: no history
RAUM -25% over the last fiscal year-9.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 19, 2024; every figure names its basis
- RAUM per advisor
- $79.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $8.2M, 6 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.2M81%
- Individuals$9.9M12%
- Charitable organizations$5.4M6.8%
- Corporations and businesses$130,0890.2%
- Individual clients
- 14reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.2M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• M•••••• H•••• | Towson, Md | Jul 28, 2026 | 46 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• F••••••• M•••••• · President, Director, Chief Compliance Officer, D Shareholdercontrolsince 07/1986 · owns 50% to 75%
- F••••••• C••••••• M•••••• · C Shareholdersince 12/2004 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 38 to 40Mar 29, 2023 to Feb 16, 2024
- HNW clients · 30 to 25Mar 29, 2023 to Feb 16, 2024
- Individual clients · 10 to 14Mar 29, 2023 to Feb 16, 2024
- Assets in custody · $8.5M to $8.2MMar 29, 2023 to Feb 16, 2024
- Discretionary RAUM · $49.4M to $52.5MMar 29, 2023 to Feb 16, 2024
- HNW RAUM · $85.6M to $64.2MMar 29, 2023 to Feb 16, 2024
- Individual RAUM · $3.3M to $9.9MMar 29, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $45.6M to $27.1MMar 29, 2023 to Feb 16, 2024
- RAUM · $95.0M to $79.6MMar 29, 2023 to Feb 16, 2024
- Accounts · 37 to 38Mar 23, 2022 to Mar 29, 2023
- HNW clients · 28 to 30Mar 23, 2022 to Mar 29, 2023
- Individual clients · 9 to 10Mar 23, 2022 to Mar 29, 2023
- Assets in custody · $9.6M to $8.5MMar 23, 2022 to Mar 29, 2023
- Financial planning clients · 26-50 to 0Mar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $67.1M to $49.4MMar 23, 2022 to Mar 29, 2023
- HNW RAUM · $95.0M to $85.6MMar 23, 2022 to Mar 29, 2023
- Individual RAUM · $3.8M to $3.3MMar 23, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $38.8M to $45.6MMar 23, 2022 to Mar 29, 2023
- RAUM · $106M to $95.0MMar 23, 2022 to Mar 29, 2023
- Accounts · 41 to 37Mar 29, 2021 to Mar 23, 2022
- HNW clients · 29 to 28Mar 29, 2021 to Mar 23, 2022
- Assets in custody · $8.9M to $9.6MMar 29, 2021 to Mar 23, 2022
- Discretionary RAUM · $103M to $67.1MMar 29, 2021 to Mar 23, 2022
- HNW RAUM · $92.6M to $95.0MMar 29, 2021 to Mar 23, 2022
- Individual RAUM · $3.6M to $3.8MMar 29, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $0 to $38.8MMar 29, 2021 to Mar 23, 2022
- RAUM · $103M to $106MMar 29, 2021 to Mar 23, 2022
- Accounts · 43 to 41May 20, 2020 to Mar 29, 2021
- Individual clients · 12 to 9May 20, 2020 to Mar 29, 2021
- Assets in custody · unset to 8880905.0May 20, 2020 to Mar 29, 2021
- Custody of client assets · false to trueMay 20, 2020 to Mar 29, 2021
- Financial planning clients · unset to 26-50May 20, 2020 to Mar 29, 2021
- Discretionary RAUM · $106M to $103MMay 20, 2020 to Mar 29, 2021
- HNW RAUM · $97.5M to $92.6MMay 20, 2020 to Mar 29, 2021
- Individual RAUM · $3.1M to $3.6MMay 20, 2020 to Mar 29, 2021
- RAUM · $106M to $103MMay 20, 2020 to Mar 29, 2021
- Accounts · 53 to 43Mar 27, 2019 to Mar 17, 2020
- HNW clients · 33 to 29Mar 27, 2019 to Mar 17, 2020
- Individual clients · 16 to 12Mar 27, 2019 to Mar 17, 2020
- Discretionary RAUM · $103M to $106MMar 27, 2019 to Mar 17, 2020
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $79.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026