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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SEC-registered adviser
M••••• • P••••• A•••••••••
Latest filing Mar 20, 2026
First filing on the tape Nov 29, 2011 · 37 filings
SEC status approved since Aug 29, 1986
RAUM
$196M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
36%
$70.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$97.8M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$196M as of Mar 20, 2026
Mar 16, 2012$2.8B then
HNW client RAUM$70.5M as of Mar 20, 2026
Mar 29, 2018$31.4M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 28, 20132 then
Employees (5.A)7 as of Mar 20, 2026
Mar 28, 201341 then
Private funds2 as of Mar 20, 2026
Mar 16, 20127 then
RAUM +16% over the last fiscal year-11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $97.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.1MderivedHNW RAUM over HNW clients
- Average account
- $28.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$125M64%
- High-net-worth individuals$70.5M36%
- Individual clients
- 0reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.36 fund_share=0.64 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• D•••• M•••••Chartered Financial Analyst | Wilmington, De | Feb 16, 2005 | 35 y | 0 |
| S•••••• P•••••Chartered Financial Analyst | Steilacoom, Wa | Mar 2, 2005 | 40 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
- B•••• D•••• M••••• to A•••••••• C•••••• L••Dec 31, 2012 · Other
- D•••• L•••••• S••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 11, 2009 · Other
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• • P••••• G••••• O••••••••• F••• L• | Hedge Fund | $26.8M | 1 | Mar 16, 2022 |
| M••••• • P••••• G••••• E•••••• L•••no longer reported | Other Private Fund | $16.5M | 23 | Mar 16, 2012 |
| M••••• • P••••• G••••• P••••••• F•••• L•••no longer reported | Hedge Fund | $14.7M | 10 | Mar 16, 2012 |
| M••••• • P••••• U••• E•••••• L••• | Other Private Fund | $13.3M | 23 | Mar 16, 2012 |
| M••••• • P••••• E••••••• M•••••• P••••••• F•••• L•••no longer reported | Hedge Fund | $10.6M | 7 | Mar 16, 2012 |
| M••••• • P••••• E••••••• M•••••• E•••••• L•••no longer reported | Other Private Fund | $9.6M | 20 | Mar 16, 2012 |
| M••••• • P••••• N••••••• E•••••• L•••no longer reported | Other Private Fund | $5.1M | 9 | Mar 16, 2012 |
| M••••• • P••••• N••••••• E••••• I••••••••• F•••• L•••no longer reported | Other Private Fund | $4.0M | 4 | Mar 16, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• K••••• T••••••• · Chief Operating Officer And Chief Financial Officer/Directorcontrolsince 03/2008 · owns less than 5%
- L••••••• J•••••••• M••••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- M•••••• D••••• F••• · Chief Executive Officer/Directorcontrolsince 07/1986 · owns 75% or more
- M•••••• T•••• D•••• · President/Directorcontrolsince 03/2008 · owns 5% to 10%
- M•••••• B••••• D•••• · Ownersince 12/2012 · owns 5% to 10%
- M•••••• S••••••• D• · Portfolio Manager, Principalsince 12/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
- M••••• • P••••• G• L••bankpooled vehicle sponsory
- M•• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $60.5M
Advisers that list M••••• • P••••• A••••••••• as a related person
- 166981 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 7Apr 16, 2025 to Mar 20, 2026
- HNW clients · 6 to 5Apr 16, 2025 to Mar 20, 2026
- Discretionary RAUM · $167M to $196MApr 16, 2025 to Mar 20, 2026
- HNW RAUM · $61.8M to $70.5MApr 16, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $1.8M to $0Apr 16, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $107M to $125MApr 16, 2025 to Mar 20, 2026
- RAUM · $169M to $196MApr 16, 2025 to Mar 20, 2026
- RAUM · $94.9M to $169MOct 21, 2024 to Apr 16, 2025
- Accounts · 11 to 8Oct 21, 2024 to Apr 16, 2025
- Advisory activities · 3 to 2Oct 21, 2024 to Apr 16, 2025
- HNW clients · 9 to 6Oct 21, 2024 to Apr 16, 2025
- Assets in custody · $40.2M to $0Oct 21, 2024 to Apr 16, 2025
- Custody of client assets · true to falseOct 21, 2024 to Apr 16, 2025
- Employees · 14 to 7Oct 21, 2024 to Apr 16, 2025
- Financial planning clients · unset to Oct 21, 2024 to Apr 16, 2025
- Discretionary RAUM · $93.2M to $167MOct 21, 2024 to Apr 16, 2025
- HNW RAUM · $54.7M to $61.8MOct 21, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $1.7M to $1.8MOct 21, 2024 to Apr 16, 2025
- Pooled vehicle RAUM · $40.2M to $107MOct 21, 2024 to Apr 16, 2025
- Related adviser · true to falseOct 21, 2024 to Apr 16, 2025
- Accounts · 14 to 11Mar 31, 2023 to Mar 20, 2024
- Charity clients · 1 to 0Mar 31, 2023 to Mar 20, 2024
- Corporate clients · 1 to 0Mar 31, 2023 to Mar 20, 2024
- HNW clients · 10 to 9Mar 31, 2023 to Mar 20, 2024
- Assets in custody · $35.6M to $40.2MMar 31, 2023 to Mar 20, 2024
- Discretionary RAUM · $280M to $93.2MMar 31, 2023 to Mar 20, 2024
- HNW RAUM · $53.2M to $54.7MMar 31, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $1.6M to $1.7MMar 31, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $35.6M to $40.2MMar 31, 2023 to Mar 20, 2024
- RAUM · $282M to $94.9MMar 31, 2023 to Mar 20, 2024
- Accounts · 16 to 14Dec 7, 2022 to Mar 31, 2023
- HNW clients · 12 to 10Dec 7, 2022 to Mar 31, 2023
- Assets in custody · $41.8M to $35.6MDec 7, 2022 to Mar 31, 2023
- Employees · 12 to 14Dec 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $328M to $280MDec 7, 2022 to Mar 31, 2023
- HNW RAUM · $68.6M to $53.2MDec 7, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.6M to $1.6MDec 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $41.8M to $35.6MDec 7, 2022 to Mar 31, 2023
- RAUM · $329M to $282MDec 7, 2022 to Mar 31, 2023
- Accounts · 13 to 16Aug 11, 2021 to Mar 16, 2022
Signals
2 dated events
- M••••• J••••••• Larocca (Chief Compliance Officer) appeared on Schedule A of M••••• • P••••• A•••••••••Sep 9, 2024 · Control person joined · fact
- M••••• • P••••• A••••••••• reported RAUM $94.9M, down 66% from $281.6M (2023-03-31 to 2024-03-20)Mar 20, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 302-573-3570reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 302-573-3570reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- marvinandpalmer.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- marvinandpalmer.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $97.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026