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.

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Former SEC-registered adviser

M•••••••• A•••• M•••••••••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 104833SEC 801-29112IAPD
Legal name M•••••••• A•••• M••••••••• L••
Latest filing Nov 19, 2015
First filing on the tape Mar 16, 2012 · 12 filings
RAUM
$738M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$738M as of Mar 27, 2015
Mar 16, 2012$687M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2015
Apr 1, 20131 then
Employees (5.A)10 as of Mar 27, 2015
Apr 1, 201312 then
Private funds: no history
RAUM -5.1% over the last fiscal year+2.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Nov 19, 2015; every figure names its basis
RAUM per advisor
$246MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$57.6M, 9 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
428reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$57.6M for 9 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• D•••• H••••• · Directorcontrol
        since 05/2015 · owns less than 5%
      • B••••••••• J•••• C••••••• · Chairman, Chief Executive Officer & Chief Investment Officercontrol
        since 01/2009 · owns less than 5%
      • C••• A•••• D• · Senior Vice Presidentcontrol
        since 03/2015 · owns less than 5%
      • D••••••••• M••••••• J••••• · Director, Elected Managercontrol
        since 05/2015 · owns less than 5%
      • G••••••••• J•••• K•••••• · Managing Director - Chief Compliance Officercontrol
        since 05/2014 · owns less than 5%
      • R••••••••• R•••••• J•• · Managing Director - Client Service & Trust Servicescontrol
        since 08/2005 · owns less than 5%
      • T•••••• V••••••• A•• · Senior Vice President - Client Servicecontrol
        since 05/2014 · owns less than 5%
      • V••••••• C••••••••• M••••• · Managing Director - Investments & Tradingcontrol
        since 05/2014 · owns less than 5%
      Entity owners
      • U•• F•••••••• C••••••••• · Owner
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      • U•• F•••••••• C•••••••••
        custodiany
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Succession · false to true
        Sep 11, 2015 to Nov 19, 2015
      • Legal name · M•••••••• A•••• M•••••••••, INC. to M•••••••• A•••• M•••••••••, LLC
        Jun 26, 2015 to Sep 9, 2015
      • Assets in custody · unset to 57626000.0
        Mar 27, 2015 to Jun 26, 2015
      • Custody of client assets · false to true
        Mar 27, 2015 to Jun 26, 2015
      • Organization form · Corporation to Limited Liability Company
        Mar 27, 2015 to Jun 26, 2015
      • Related adviser · false to true
        Mar 27, 2015 to Jun 26, 2015
      • Related bank · false to true
        Mar 27, 2015 to Jun 26, 2015
      • Related broker-dealer · false to true
        Mar 27, 2015 to Jun 26, 2015
      • Accounts · 456 to 428
        Nov 26, 2014 to Mar 27, 2015
      • Assets in custody · 96109000.0 to unset
        Nov 26, 2014 to Mar 27, 2015
      • Custody of client assets · true to false
        Nov 26, 2014 to Mar 27, 2015
      • Discretionary RAUM · $762M to $723M
        Nov 26, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $15.2M to $15.6M
        Nov 26, 2014 to Mar 27, 2015
      • RAUM · $778M to $738M
        Nov 26, 2014 to Mar 27, 2015
      • Accounts · 472 to 456
        Jan 7, 2014 to Mar 28, 2014
      • Advisory employees · 5 to 3
        Jan 7, 2014 to Mar 28, 2014
      • Assets in custody · $707M to $96.1M
        Jan 7, 2014 to Mar 28, 2014
      • Employees · 12 to 10
        Jan 7, 2014 to Mar 28, 2014
      • State-registered IARs · 1 to 3
        Jan 7, 2014 to Mar 28, 2014
      • Discretionary RAUM · $663M to $762M
        Jan 7, 2014 to Mar 28, 2014
      • Non-discretionary RAUM · $14.4M to $15.2M
        Jan 7, 2014 to Mar 28, 2014
      • RAUM · $677M to $778M
        Jan 7, 2014 to Mar 28, 2014
      • Accounts · 407 to 472
        Apr 20, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Apr 20, 2012 to Apr 1, 2013
      • Assets in custody · $843M to $707M
        Apr 20, 2012 to Apr 1, 2013
      • Employees · unset to 12.0
        Apr 20, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Apr 20, 2012 to Apr 1, 2013
      • Discretionary RAUM · $687M to $663M
        Apr 20, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $0 to $14.4M
        Apr 20, 2012 to Apr 1, 2013
      • RAUM · $687M to $677M
        Apr 20, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • M•••••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 19, 2015 · Succession (Item 4) · fact
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026