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••••••• C•

Former SEC-registered adviserSt Simons Island, GeorgiaCRD 105518SEC 801-31672IAPD
Legal name M••••••••• A••••••• C••••••
Latest filing Mar 18, 2019
First filing on the tape Jan 23, 2012 · 13 filings
RAUM
$332M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$215M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 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$332M as of Mar 18, 2019
Jan 23, 2012$248M then
HNW client RAUM$142M as of Mar 18, 2019
Feb 1, 2018$151M then
State-registered IARs (5.B.3)1 as of Mar 18, 2019
Jan 25, 20131 then
Employees (5.A)3 as of Mar 18, 2019
Jan 25, 20133 then
Private funds: no history
RAUM -7.5% over the last fiscal year+0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2019; every figure names its basis
RAUM per advisor
$332MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
148derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$705,706derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
35%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
-7.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$142M43%
  • State and municipal entities$105M32%
  • Individuals$73.0M22%
  • Charitable organizations$10.9M3.3%
  • Corporations and businesses$1.1M0.3%
Individual clients
107reported
HNW clients
41reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
470reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••• E•••••• A••••••• · Chairmancontrol
    since 02/1982 · owns less than 5%
  • K••••• J•••• A•••• · Presidentcontrol
    since 02/1982 · owns less than 5%
  • K••••• E•••••• A••••••• · Ownercontrol
    since 02/1982 · owns 50% to 75% of M••••••••• H••••••• C••••••
  • K••••• J•••• A•••• · Ownercontrol
    since 02/1982 · owns 25% to 50% of M••••••••• H••••••• C••••••
Entity owners
  • M••••••••• H••••••• C•••••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 510 to 470
    Mar 20, 2018 to Mar 18, 2019
  • HNW clients · 46 to 41
    Mar 20, 2018 to Mar 18, 2019
  • Individual clients · 112 to 107
    Mar 20, 2018 to Mar 18, 2019
  • Discretionary RAUM · $359M to $332M
    Mar 20, 2018 to Mar 18, 2019
  • HNW RAUM · $151M to $142M
    Mar 20, 2018 to Mar 18, 2019
  • Individual RAUM · $83.6M to $73.0M
    Mar 20, 2018 to Mar 18, 2019
  • RAUM · $359M to $332M
    Mar 20, 2018 to Mar 18, 2019
  • Accounts · 450 to 510
    Feb 16, 2017 to Feb 1, 2018
  • Charity clients · unset to 2.0
    Feb 16, 2017 to Feb 1, 2018
  • Corporate clients · unset to 2.0
    Feb 16, 2017 to Feb 1, 2018
  • HNW clients · unset to 46.0
    Feb 16, 2017 to Feb 1, 2018
  • Individual clients · unset to 112.0
    Feb 16, 2017 to Feb 1, 2018
  • Pension plan clients · unset to 0.0
    Feb 16, 2017 to Feb 1, 2018
  • Pooled vehicle clients · unset to 0.0
    Feb 16, 2017 to Feb 1, 2018
  • Assets in custody · 1100000.0 to unset
    Feb 16, 2017 to Feb 1, 2018
  • Custody of client assets · true to false
    Feb 16, 2017 to Feb 1, 2018
  • Other offices · unset to 0.0
    Feb 16, 2017 to Feb 1, 2018
  • Discretionary RAUM · $337M to $359M
    Feb 16, 2017 to Feb 1, 2018
  • HNW RAUM · unset to 150845899.0
    Feb 16, 2017 to Feb 1, 2018
  • Individual RAUM · unset to 83615922.0
    Feb 16, 2017 to Feb 1, 2018
  • Pension RAUM · unset to 0.0
    Feb 16, 2017 to Feb 1, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Feb 16, 2017 to Feb 1, 2018
  • RAUM · $337M to $359M
    Feb 16, 2017 to Feb 1, 2018
  • Assets in custody · $0 to $1.1M
    Jan 11, 2016 to Feb 16, 2017
  • Custody of client assets · false to true
    Jan 11, 2016 to Feb 16, 2017
  • Discretionary RAUM · $323M to $337M
    Jan 11, 2016 to Feb 16, 2017
  • RAUM · $323M to $337M
    Jan 11, 2016 to Feb 16, 2017
  • Accounts · 451 to 450
    Jan 28, 2015 to Jan 11, 2016
  • Assets in custody · $550,000 to $0
    Jan 28, 2015 to Jan 11, 2016
  • Discretionary RAUM · $347M to $323M
    Jan 28, 2015 to Jan 11, 2016
  • RAUM · $347M to $323M
    Jan 28, 2015 to Jan 11, 2016
  • Accounts · 460 to 451
    Mar 7, 2014 to Jan 28, 2015
  • Assets in custody · unset to 550000.0
    Mar 7, 2014 to Jan 28, 2015
  • Discretionary RAUM · $318M to $347M
    Mar 7, 2014 to Jan 28, 2015
  • RAUM · $318M to $347M
    Mar 7, 2014 to Jan 28, 2015
  • Accounts · 475 to 460
    Aug 15, 2013 to Jan 20, 2014
  • Discretionary RAUM · $264M to $318M
    Aug 15, 2013 to Jan 20, 2014
  • RAUM · $264M to $318M
    Aug 15, 2013 to Jan 20, 2014
  • Advisory employees · unset to 1.0
    Jan 23, 2012 to Jan 25, 2013
  • Employees · unset to 3.0
    Jan 23, 2012 to Jan 25, 2013
Signals
No event on the tape.
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