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••••• C•••••• M••••••••• I•••

Former SEC-registered adviserLittle Rock, ArkansasCRD 105002SEC 801-36350IAPD
Latest filing Feb 8, 2021
First filing on the tape Feb 29, 2012 · 18 filings
RAUM
$194M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
83%
$161M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$194M as of Feb 8, 2021
Feb 29, 2012$132M then
HNW client RAUM$127M as of Feb 8, 2021
Mar 17, 2018$158M then
State-registered IARs (5.B.3)2 as of Feb 8, 2021
Feb 29, 20120 then
Employees (5.A)2 as of Feb 8, 2021
Feb 11, 20132 then
Private funds: no history
RAUM -17% over the last fiscal year-4.3% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 8, 2021; every figure names its basis
RAUM per advisor
$97.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$473,324derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$127M65%
  • Individuals$34.0M18%
  • Pension and profit-sharing plans$31.2M16%
  • Charitable organizations$1.7M0.9%
  • Corporations and businesses$371,1500.2%
Individual clients
108reported
HNW clients
63reported
Pension plan clients
17reported
Charitable clients
1reported
Accounts
410reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• S••••• M••••• · Director/Chairman Of The Boardcontrol
      since 08/2020 · owns 75% or more
    • N••••••• G•••••••• H• · Presidentcontrol
      since 02/2020 · owns less than 5%
    • R•••••••• M••••••• P••••••• · Vice President/Chief Compliance Officercontrol
      since 01/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 382 to 410
      Dec 14, 2020 to Feb 8, 2021
    • Advisory employees · 3 to 2
      Dec 14, 2020 to Feb 8, 2021
    • Corporate clients · 3 to 2
      Dec 14, 2020 to Feb 8, 2021
    • HNW clients · 68 to 63
      Dec 14, 2020 to Feb 8, 2021
    • Individual clients · 85 to 108
      Dec 14, 2020 to Feb 8, 2021
    • Pension plan clients · 21 to 17
      Dec 14, 2020 to Feb 8, 2021
    • Employees · 3 to 2
      Dec 14, 2020 to Feb 8, 2021
    • Insurance-licensed employees · 0 to 2
      Dec 14, 2020 to Feb 8, 2021
    • State-registered IARs · 3 to 2
      Dec 14, 2020 to Feb 8, 2021
    • Discretionary RAUM · $231M to $190M
      Dec 14, 2020 to Feb 8, 2021
    • HNW RAUM · $165M to $127M
      Dec 14, 2020 to Feb 8, 2021
    • Individual RAUM · $29.0M to $34.0M
      Dec 14, 2020 to Feb 8, 2021
    • Non-discretionary RAUM · $3.0M to $4.5M
      Dec 14, 2020 to Feb 8, 2021
    • Pension RAUM · $37.2M to $31.2M
      Dec 14, 2020 to Feb 8, 2021
    • RAUM · $234M to $194M
      Dec 14, 2020 to Feb 8, 2021
    • Related adviser · false to true
      Dec 14, 2020 to Feb 8, 2021
    • Accounts · 389 to 382
      Jan 25, 2020 to Feb 7, 2020
    • Advisory employees · 2 to 3
      Jan 25, 2020 to Feb 7, 2020
    • Charity clients · 2 to 1
      Jan 25, 2020 to Feb 7, 2020
    • HNW clients · 73 to 68
      Jan 25, 2020 to Feb 7, 2020
    • Individual clients · 82 to 85
      Jan 25, 2020 to Feb 7, 2020
    • Employees · 2 to 3
      Jan 25, 2020 to Feb 7, 2020
    • State-registered IARs · 2 to 3
      Jan 25, 2020 to Feb 7, 2020
    • Discretionary RAUM · $188M to $231M
      Jan 25, 2020 to Feb 7, 2020
    • HNW RAUM · $139M to $165M
      Jan 25, 2020 to Feb 7, 2020
    • Individual RAUM · $20.9M to $29.0M
      Jan 25, 2020 to Feb 7, 2020
    • Non-discretionary RAUM · $3.1M to $3.0M
      Jan 25, 2020 to Feb 7, 2020
    • Pension RAUM · $27.7M to $37.2M
      Jan 25, 2020 to Feb 7, 2020
    • RAUM · $191M to $234M
      Jan 25, 2020 to Feb 7, 2020
    • Accounts · 377 to 389
      Mar 17, 2018 to Feb 5, 2019
    • HNW clients · 118 to 73
      Mar 17, 2018 to Feb 5, 2019
    • Individual clients · 80 to 82
      Mar 17, 2018 to Feb 5, 2019
    • Pension plan clients · 20 to 21
      Mar 17, 2018 to Feb 5, 2019
    • Discretionary RAUM · $218M to $188M
      Mar 17, 2018 to Feb 5, 2019
    • HNW RAUM · $158M to $139M
      Mar 17, 2018 to Feb 5, 2019
    • Individual RAUM · $14.1M to $20.9M
      Mar 17, 2018 to Feb 5, 2019
    • Non-discretionary RAUM · $3.4M to $3.1M
      Mar 17, 2018 to Feb 5, 2019
    • Pension RAUM · $45.3M to $27.7M
      Mar 17, 2018 to Feb 5, 2019
    • RAUM · $222M to $191M
      Mar 17, 2018 to Feb 5, 2019
    • Accounts · 382 to 377
      Sep 1, 2017 to Mar 17, 2018
    Signals
    4 dated events
    • B Allan Mendel (Ceo) no longer on Schedule A of Mendel Capital Management, Inc. (listed 2020-06-16, absent 2020-09-16)
      Sep 16, 2020 · Control person left · inference
    • Mendel Sarah Johnson (Director) appeared on Schedule A of Mendel Capital Management, Inc.
      Sep 16, 2020 · Control person joined · fact
    • H Geoffrey Niebaum (President) appeared on Schedule A of Mendel Capital Management, Inc.
      Feb 7, 2020 · Control person joined · fact
    • Patricia Maureen Ruggiero (Vice President/Chief Compliance Officer) appeared on Schedule A of Mendel Capital Management, Inc.
      Feb 7, 2020 · Control person joined · 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