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••••••• I•••
Latest filing Mar 30, 2020
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.8%
$41.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2020
Mar 30, 2012$3.7B then
HNW client RAUM$34.3M as of Mar 30, 2020
Mar 29, 2018$44.5M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 21, 20133 then
Employees (5.A)13 as of Mar 30, 2020
Mar 21, 201327 then
Private funds: no history
RAUM -17% over the last fiscal year-31% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $19.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$625M42%
- Insurance companies$334M23%
- State and municipal entities$281M19%
- Investment companies$123M8.3%
- High-net-worth individuals$34.3M2.3%
- Other investment advisers$32.6M2.2%
- Charitable organizations$20.3M1.4%
- Corporations and businesses$12.7M0.9%
- Individuals$7.3M0.5%
- Pension and profit-sharing plans$6.9M0.5%
- Individual clients
- 16reported
- HNW clients
- 11reported
- Pension plan clients
- 2reported
- Charitable clients
- 8reported
- Accounts
- 75reported
- Financial planning clients
- 0reported
- 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
- R•••••• T••••••• D•••• to P••• I••••••••• A•••••••Apr 13, 2020 · Other
- B••••••• C•••••• S••••• to L•• W••••• M•••••••••Mar 27, 2019 · Other
- J•• K••• A•••••••• to B•• C•••••• M•••••••••Oct 13, 2009 · Other
- C••••••••• C••••• C••• to V•• A••••••• S•••••••Oct 13, 2009 · Other
- S•••• D••• E••••• to B•• C•••••• M•••••••••Jan 23, 2009 · Other
- D•••• E••••• K••••• to C••••••••• A•••• M••••••••• L••Dec 2, 2008 · Other
- J•••• T•••• R••••••• to W•••••• F•••••••• G•••• L••Nov 20, 2003 · Other
Joined, latest
- R•••••• T••••••• D•••• from Z••• F••••••••• L••Mar 28, 2018 · Other
- B••••••• C•••••• S••••• from V••• F•••••••• A•••••••• I•••May 1, 2015 · Other
- D•••• E••••• K••••• from V•• C••••••Jan 1, 2007 · Other
- S•••• D••• E••••• from V•• C••••••Dec 7, 2006 · Other
- J•• K••• A•••••••• from V•• C••••••Dec 7, 2006 · Other
- C••••••••• C••••• C••• from V•• C••••••Dec 7, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• G••••••• K•• · Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- M••••• D••••• W•••• · Chairmancontrolsince 07/2014 · owns less than 5%
- M••••• D••••• W•••• · Shareholdercontrolsince 12/2009 · owns 75% or more of M•••• C•••••• H•••••••• I•••
Entity owners
- M•••• C•••••• H•••••••• I••• · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- W••••• G••••• E••••• A•••••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 77 to 75Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 8 to 5Mar 29, 2019 to Mar 30, 2020
- HNW clients · 12 to 11Mar 29, 2019 to Mar 30, 2020
- Individual clients · 17 to 16Mar 29, 2019 to Mar 30, 2020
- Employees · 19 to 13Mar 29, 2019 to Mar 30, 2020
- State-registered IARs · 1 to 0Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.8B to $1.5BMar 29, 2019 to Mar 30, 2020
- HNW RAUM · $40.2M to $34.3MMar 29, 2019 to Mar 30, 2020
- Individual RAUM · $8.1M to $7.3MMar 29, 2019 to Mar 30, 2020
- Pension RAUM · $6.4M to $6.9MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $742M to $625MMar 29, 2019 to Mar 30, 2020
- RAUM · $1.8B to $1.5BMar 29, 2019 to Mar 30, 2020
- Accounts · 79 to 77Mar 29, 2018 to Mar 29, 2019
- Advisory employees · 10 to 8Mar 29, 2018 to Mar 29, 2019
- BD registered reps · 4 to 2Mar 29, 2018 to Mar 29, 2019
- Corporate clients · 4 to 3Mar 29, 2018 to Mar 29, 2019
- HNW clients · 14 to 12Mar 29, 2018 to Mar 29, 2019
- Individual clients · 18 to 17Mar 29, 2018 to Mar 29, 2019
- Employees · 26 to 19Mar 29, 2018 to Mar 29, 2019
- State-registered IARs · 2 to 1Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $4.7B to $1.8BMar 29, 2018 to Mar 29, 2019
- HNW RAUM · $44.5M to $40.2MMar 29, 2018 to Mar 29, 2019
- Individual RAUM · $6.1M to $8.1MMar 29, 2018 to Mar 29, 2019
- Pension RAUM · $6.0M to $6.4MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $738M to $742MMar 29, 2018 to Mar 29, 2019
- RAUM · $4.7B to $1.8BMar 29, 2018 to Mar 29, 2019
- Wrap assets (manager) · 123399.0 to unsetMar 29, 2018 to Mar 29, 2019
- Wrap assets (sponsor) · 0.0 to unsetMar 29, 2018 to Mar 29, 2019
- Accounts · 359 to 79Mar 31, 2017 to Mar 29, 2018
- Advisory employees · 13 to 10Mar 31, 2017 to Mar 29, 2018
- BD registered reps · 0 to 4Mar 31, 2017 to Mar 29, 2018
- Charity clients · unset to 8.0Mar 31, 2017 to Mar 29, 2018
- Corporate clients · unset to 4.0Mar 31, 2017 to Mar 29, 2018
- HNW clients · unset to 14.0Mar 31, 2017 to Mar 29, 2018
- Individual clients · unset to 18.0Mar 31, 2017 to Mar 29, 2018
- Pension plan clients · unset to 2.0Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 3.0Mar 31, 2017 to Mar 29, 2018
- State-registered IARs · 1 to 2Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $4.5B to $4.7BMar 31, 2017 to Mar 29, 2018
Signals
2 dated events
- D. Gregory Boal (Chief Executive Officer And Chief Investment Officer) no longer on Schedule A of M•••• C••••••• I••• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- M•••• C••••••• I••• reported RAUM $1.8B, down 62% from $4.7B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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