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••••••• • S•••••••• I•••

Former SEC-registered adviserSeattle, WashingtonCRD 105168SEC 801-16142websiteIAPD
Legal name M••••••• • S••••••• I••
Latest filing Jan 17, 2025
First filing on the tape Jan 31, 2012 · 22 filings
SEC status approved since Jun 11, 1981
RAUM
$473M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$417M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$473M as of Jan 17, 2025
Jan 31, 2012$129M then
HNW client RAUM$374M as of Jan 17, 2025
Feb 2, 2018$226M then
State-registered IARs (5.B.3)1 as of Jan 17, 2025
Feb 26, 20131 then
Employees (5.A)3 as of Jan 17, 2025
Feb 26, 20135 then
Private funds5 as of Jan 17, 2025
Feb 20, 201514 then
RAUM +10% over the last fiscal year+1.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 17, 2025; every figure names its basis
RAUM per advisor
$473MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
185derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 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
+0.5%derived
Compensation
percentage of assets, hourly, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$17.0M, 5 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$374M79%
  • Individuals$42.4M9.0%
  • Charitable organizations$31.0M6.5%
  • Pooled investment vehicles$17.0M3.6%
  • Corporations and businesses$8.5M1.8%
Individual clients
80reported
HNW clients
105reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
200reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$17.0M for 5 clientsreported
Compensation
% of AUM, hourly, performancereported
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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    15 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••••• O••••• I••••••••• L••no longer reportedReal Estate Fund$5.7M36Mar 30, 2012
    S•••••••• L••• D••••••••• L••Real Estate Fund$4.3M29Mar 30, 2012
    F••••• T••••• R••••••••• I••••••••• L••Real Estate Fund$3.2M25Mar 30, 2012
    L•••••• A••••••••• • 2•••••••no longer reportedReal Estate Fund$2.8M76Mar 30, 2012
    U•••• B••••••••• I••••••••• L••no longer reportedReal Estate Fund$1.9M15Mar 30, 2012
    D••••• S•••••• O••••• P••••••••• L••no longer reportedReal Estate Fund$1.6M21Mar 30, 2012
    L••••••• A••••••••• G••••• F•••• L••Real Estate Fund$1.5M17Mar 30, 2012
    L••••••• I••••• • G••••• F•••• L••Real Estate Fund$1.2M26Dec 8, 2014
    F••••••• I••••••••• L••no longer reportedReal Estate Fund$1.0M2Mar 30, 2012
    L••••••• G••••• F•••• L••no longer reportedReal Estate Fund$995,0133Mar 30, 2012
    R••• E••••• I••••••••• O••••••••• L••Real Estate Fund$851,68730Mar 30, 2012
    H•••• I•••••••• T••• L••no longer reportedReal Estate Fund$832,42623Mar 30, 2012
    O••••• A•• I••••••••• P••••••••• L••no longer reportedReal Estate Fund$429,95820Mar 30, 2012
    G•••••• C••••• I••••••••• L••Real Estate Fund$424,49514Mar 30, 2012
    H•••• G•••• I••••••• T••••• L••no longer reportedReal Estate Fund$152,60031Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• H•••••• D•••• · Vice Presidentcontrol
      since 05/2011 · owns 10% to 25%
    • R•••••••• G••••••• S•••• · President/Chief Compliance Officercontrol
      since 01/2000 · owns 25% to 50%
    • C•••••• M•••• S• · Owner
      since 10/2012 · owns less than 5%
    • E••••••• R••••••••• · Owner
      since 10/1997 · owns 5% to 10%
    • L•••••• J• E••••• S• · Owner
      since 10/2012 · owns less than 5%
    • L•••• P••••••• A• · Owner
      since 10/2012 · owns less than 5%
    • R•••••••• A•••••• S••••• · Owner/Director
      since 10/1994 · owns 25% to 50%
    • S•••••••• W• P•••• · Owner/Director
      since 10/2012 · owns less than 5%
    Related persons
    Schedule D 7.A
    • M••• L•• ••••••• A•••••••
      pooled vehicle sponsory
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Seattle, Wa · principal0021
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW clients · 107 to 105
      Jan 30, 2024 to Jan 17, 2025
    • Individual clients · 77 to 80
      Jan 30, 2024 to Jan 17, 2025
    • Pooled vehicle clients · 6 to 5
      Jan 30, 2024 to Jan 17, 2025
    • Assets in custody · $22.1M to $17.0M
      Jan 30, 2024 to Jan 17, 2025
    • Financial planning clients · unset to
      Jan 30, 2024 to Jan 17, 2025
    • Private funds · 6 to 5
      Jan 30, 2024 to Jan 17, 2025
    • Discretionary RAUM · $430M to $473M
      Jan 30, 2024 to Jan 17, 2025
    • HNW RAUM · $341M to $374M
      Jan 30, 2024 to Jan 17, 2025
    • Individual RAUM · $33.6M to $42.4M
      Jan 30, 2024 to Jan 17, 2025
    • Pooled vehicle RAUM · $22.1M to $17.0M
      Jan 30, 2024 to Jan 17, 2025
    • RAUM · $430M to $473M
      Jan 30, 2024 to Jan 17, 2025
    • Accounts · 199 to 200
      Feb 15, 2023 to Jan 30, 2024
    • Corporate clients · 1 to 3
      Feb 15, 2023 to Jan 30, 2024
    • HNW clients · 108 to 107
      Feb 15, 2023 to Jan 30, 2024
    • Assets in custody · $22.2M to $22.1M
      Feb 15, 2023 to Jan 30, 2024
    • Discretionary RAUM · $363M to $430M
      Feb 15, 2023 to Jan 30, 2024
    • HNW RAUM · $289M to $341M
      Feb 15, 2023 to Jan 30, 2024
    • Individual RAUM · $30.0M to $33.6M
      Feb 15, 2023 to Jan 30, 2024
    • Pooled vehicle RAUM · $22.2M to $22.1M
      Feb 15, 2023 to Jan 30, 2024
    • RAUM · $363M to $430M
      Feb 15, 2023 to Jan 30, 2024
    • Accounts · 194 to 199
      Jan 31, 2023 to Feb 15, 2023
    • HNW clients · 104 to 108
      Jan 31, 2023 to Feb 15, 2023
    • Individual clients · 76 to 77
      Jan 31, 2023 to Feb 15, 2023
    • Discretionary RAUM · $352M to $363M
      Jan 31, 2023 to Feb 15, 2023
    • HNW RAUM · $278M to $289M
      Jan 31, 2023 to Feb 15, 2023
    • Individual RAUM · $29.3M to $30.0M
      Jan 31, 2023 to Feb 15, 2023
    • RAUM · $352M to $363M
      Jan 31, 2023 to Feb 15, 2023
    • Accounts · 206 to 194
      Jan 28, 2022 to Jan 31, 2023
    • Charity clients · 6 to 7
      Jan 28, 2022 to Jan 31, 2023
    • Corporate clients · 2 to 1
      Jan 28, 2022 to Jan 31, 2023
    • HNW clients · 103 to 104
      Jan 28, 2022 to Jan 31, 2023
    • Individual clients · 89 to 76
      Jan 28, 2022 to Jan 31, 2023
    • Assets in custody · $23.3M to $22.2M
      Jan 28, 2022 to Jan 31, 2023
    • Discretionary RAUM · $447M to $352M
      Jan 28, 2022 to Jan 31, 2023
    • HNW RAUM · $360M to $278M
      Jan 28, 2022 to Jan 31, 2023
    • Individual RAUM · $42.0M to $29.3M
      Jan 28, 2022 to Jan 31, 2023
    • Pooled vehicle RAUM · $23.3M to $22.2M
      Jan 28, 2022 to Jan 31, 2023
    • RAUM · $447M to $352M
      Jan 28, 2022 to Jan 31, 2023
    • Accounts · 191 to 206
      Jan 27, 2021 to Jan 28, 2022
    • Charity clients · 5 to 6
      Jan 27, 2021 to Jan 28, 2022
    Signals
    5 dated events
    • M••••••• • S•••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $473.4M)
      Dec 20, 2025 · Left the SEC roster · derived
    • G•••••• S•••• R••••••• left M••••••• • S•••••••• I••• for B•••••• P••••• W••••• M••••••• (registered 2025-11-04)
      Nov 4, 2025 · a•••••• firm change · fact
    • 2 advisors left M••••••• • S•••••••• I••• (Seattle, WA) for B•••••• P••••• W••••• M••••••• on the same day
      Nov 4, 2025 · Team lift-out · derived
    • H••••• D•••• M•••••• left M••••••• • S•••••••• I••• for B•••••• P••••• W••••• M••••••• (registered 2025-11-04)
      Nov 4, 2025 · a•••••• firm change · fact
    • Eugene Ronald M••••••• (Chairman) no longer on Schedule A of M••••••• • S•••••••• I••• (listed 2020-06-22, absent 2020-07-27)
      Jul 27, 2020 · Control person left · inference
    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
    Across the graphs

    M••••••• • S•••••••• I••• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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