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•••••• G••••
Legal name F•••••••• A••••••••• I••
Latest filing Apr 17, 2023
First filing on the tape Nov 14, 2011 · 41 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
91%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1.5B as of Mar 8, 2023
Mar 30, 2012$562M then
HNW client RAUM$866M as of Mar 8, 2023
Mar 29, 2018$500M then
State-registered IARs (5.B.3)10 as of Mar 8, 2023
Mar 19, 20137 then
Employees (5.A)18 as of Mar 8, 2023
Mar 19, 20138 then
Private funds: no history
RAUM -9.3% over the last fiscal year+14% a year over threeIARs 10 to 10offices 1 to 2
Practice profile
derived from the filing of Apr 17, 2023; every figure names its basis
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $643,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $55.7M, 12 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)
- 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
- High-net-worth individuals$866M58%
- Individuals$478M32%
- Corporations and businesses$119M8.0%
- Pension and profit-sharing plans$21.0M1.4%
- Charitable organizations$177,1140.0%
- Individual clients
- 609reported
- HNW clients
- 165reported
- Pension plan clients
- 27reported
- Charitable clients
- n/areported
- Accounts
- 2,306reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.7M for 12 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- T••••• C••••••• M•••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• H••••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- K•••••• W•••••• B••••••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- M••••••• R•••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- D••••••• K••• M••••••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- C••••••••• P••••••••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- T••••• P• M•••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- M••• R••• M•••• to H•••••••• A•••••••• L••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- B•••• S••• to V••••••• A•••••••• I•••Sep 29, 2016 · Other
Joined, latest
- C••••••••• P••••••••• from B••• B••• P•••••• W••••• M••••••••• L••Jan 6, 2022 · RIA to RIA
- K•••••• W•••••• B••••••• from B•••••••• I••••••••• M••••••••• L••Apr 11, 2019 · Other
- D••••••• K••• M••••••• from P••••••••• C•••••• M••••••••• I•••Apr 24, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for H•••••••• A•••••••• L••Sep 28, 2023 · Marlton, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• T•••••• C••••••• · President/Chief Compliance Officercontrolsince 01/1989 · owns 75% or more
- Z••••••••• N••• · Chief Operating Officercontrolsince 01/2014 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Horsham, Pa | 0 | 0 | 0 | ||
| Marlton, Nj · principal | 0 | 0 | 0 | ||
| Naples, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 8, 2023 to Mar 22, 2023
- Accounts · 2,240 to 2,306May 5, 2022 to Mar 8, 2023
- Charity clients · 5.0 to unsetMay 5, 2022 to Mar 8, 2023
- Corporate clients · 25 to 17May 5, 2022 to Mar 8, 2023
- HNW clients · 325 to 165May 5, 2022 to Mar 8, 2023
- Individual clients · 404 to 609May 5, 2022 to Mar 8, 2023
- Pension plan clients · 31 to 27May 5, 2022 to Mar 8, 2023
- Assets in custody · $59.5M to $55.7MMay 5, 2022 to Mar 8, 2023
- Employees · 17 to 18May 5, 2022 to Mar 8, 2023
- Financial planning clients · 51-100 to 1-10May 5, 2022 to Mar 8, 2023
- Discretionary RAUM · $1.1B to $993MMay 5, 2022 to Mar 8, 2023
- HNW RAUM · $894M to $866MMay 5, 2022 to Mar 8, 2023
- Individual RAUM · $503M to $478MMay 5, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $523M to $491MMay 5, 2022 to Mar 8, 2023
- Pension RAUM · $23.0M to $21.0MMay 5, 2022 to Mar 8, 2023
- RAUM · $1.6B to $1.5BMay 5, 2022 to Mar 8, 2023
- Accounts · 2,091 to 2,240Nov 10, 2021 to Feb 24, 2022
- Charity clients · unset to 5.0Nov 10, 2021 to Feb 24, 2022
- Corporate clients · 18 to 25Nov 10, 2021 to Feb 24, 2022
- HNW clients · 304 to 325Nov 10, 2021 to Feb 24, 2022
- Individual clients · 398 to 404Nov 10, 2021 to Feb 24, 2022
- Pension plan clients · 21 to 31Nov 10, 2021 to Feb 24, 2022
- Assets in custody · $61.7M to $59.5MNov 10, 2021 to Feb 24, 2022
- Discretionary RAUM · $917M to $1.1BNov 10, 2021 to Feb 24, 2022
- HNW RAUM · $716M to $894MNov 10, 2021 to Feb 24, 2022
- Individual RAUM · $421M to $503MNov 10, 2021 to Feb 24, 2022
- Non-discretionary RAUM · $410M to $523MNov 10, 2021 to Feb 24, 2022
- Pension RAUM · $25.9M to $23.0MNov 10, 2021 to Feb 24, 2022
- RAUM · $1.3B to $1.6BNov 10, 2021 to Feb 24, 2022
- Accounts · 1,997 to 2,091Jan 19, 2021 to Mar 30, 2021
- Advisory activities · 4 to 5Jan 19, 2021 to Mar 30, 2021
- Corporate clients · 15 to 18Jan 19, 2021 to Mar 30, 2021
- HNW clients · 283 to 304Jan 19, 2021 to Mar 30, 2021
- Individual clients · 404 to 398Jan 19, 2021 to Mar 30, 2021
- Pension plan clients · 12 to 21Jan 19, 2021 to Mar 30, 2021
- Assets in custody · $142M to $61.7MJan 19, 2021 to Mar 30, 2021
- Employees · 18 to 17Jan 19, 2021 to Mar 30, 2021
- Insurance-licensed employees · 1 to 0Jan 19, 2021 to Mar 30, 2021
- Other offices · 0 to 1Jan 19, 2021 to Mar 30, 2021
- Discretionary RAUM · $898M to $917MJan 19, 2021 to Mar 30, 2021
Signals
11 dated events
- T••••• P• M•••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-08-15)Sep 28, 2023 · Advisor changed firm · fact
- D••••••• K••• M••••••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-09-06)Sep 28, 2023 · Advisor changed firm · fact
- M••• R••• M•••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-08-15)Sep 28, 2023 · Advisor changed firm · fact
- C••••••••• P••••••••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-08-15)Sep 28, 2023 · Advisor changed firm · fact
- K•••••• W•••••• B••••••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-09-06)Sep 28, 2023 · Advisor changed firm · fact
- M•••••• J••••• H••••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-08-17)Sep 28, 2023 · Advisor changed firm · fact
- M••••••• R•••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-08-24)Sep 28, 2023 · Advisor changed firm · fact
- T••••• C••••••• M•••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-08-24)Sep 28, 2023 · Advisor changed firm · fact
- M•••• C•••••• G••••'s advisors moved to H•••••••• A•••••••• L•• (Marlton, NJ): 6 of 8 registered, on the same daySep 28, 2023 · Firm absorbed (people side) · derived
- M•••• C•••••• G•••• reported RAUM $1.3B, up 32% from $1.0B (2021-01-19 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- N••• Z••••••••• (Chief Operating Officer) appeared on Schedule A of M•••• C•••••• G••••Jul 11, 2019 · 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