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
D•••••••• C•••••• A•••••••• I•••
Latest filing Jul 16, 2026
First filing on the tape Feb 28, 2012 · 18 filings
SEC status approved since Jun 27, 1995
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$136M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$168M as of Jul 16, 2026
Feb 28, 2012$131M then
HNW client RAUM$136M as of Jul 16, 2026
Jan 2, 2018$59.1M then
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Feb 28, 20120 then
Employees (5.A)1 as of Jul 16, 2026
Feb 6, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.3MderivedHNW RAUM over HNW clients
- Average account
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M81%
- Pension and profit-sharing plans$24.1M14%
- Corporations and businesses$7.9M4.7%
- Individual clients
- 0reported
- HNW clients
- 12reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• M••• M•••••Chartered Financial Analyst | Naples, Fl | May 7, 1996 | 31 y | 2 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G••••••• M••• · President, Chief Compliance Officer, Ownercontrolsince 07/1995 · owns 50% to 75%
- M•••••• B••••••• E•••• · Ownersince 10/1995 · owns 5% to 10%
- M•••••• C••••• A••• · Ownersince 10/1995 · owns 5% to 10%
- M•••••• D•••••••• J••• · Ownersince 10/1995 · owns 5% to 10%
- M•••••• J•••••• C•••• · Ownersince 10/1995 · owns 5% to 10%
- M•••••• J•••• C••••••••• · Ownersince 10/1995 · owns 5% to 10%
- M•••••• P•••••••• R••••• · Ownersince 10/1995 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list D•••••••• C•••••• A•••••••• I••• as a related person
- 119167 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 31 to 15Jan 16, 2025 to Jan 13, 2026
- Discretionary RAUM · $144M to $168MJan 16, 2025 to Jan 13, 2026
- HNW RAUM · $117M to $136MJan 16, 2025 to Jan 13, 2026
- Pension RAUM · $18.8M to $24.1MJan 16, 2025 to Jan 13, 2026
- RAUM · $144M to $168MJan 16, 2025 to Jan 13, 2026
- Accounts · 28 to 31Jan 4, 2024 to Jan 16, 2025
- Advisory activities · 5 to 3Jan 4, 2024 to Jan 16, 2025
- HNW clients · 16 to 12Jan 4, 2024 to Jan 16, 2025
- Financial planning clients · 0 to 0Jan 4, 2024 to Jan 16, 2025
- HQ city · unset to Jan 4, 2024 to Jan 16, 2025
- HQ state · unset to Jan 4, 2024 to Jan 16, 2025
- Discretionary RAUM · $143M to $144MJan 4, 2024 to Jan 16, 2025
- HNW RAUM · $120M to $117MJan 4, 2024 to Jan 16, 2025
- Pension RAUM · $15.2M to $18.8MJan 4, 2024 to Jan 16, 2025
- RAUM · $143M to $144MJan 4, 2024 to Jan 16, 2025
- Accounts · 29 to 28Jan 23, 2023 to Jan 4, 2024
- Advisory activities · 6 to 5Jan 23, 2023 to Jan 4, 2024
- Corporate clients · 2 to 1Jan 23, 2023 to Jan 4, 2024
- HNW clients · 26 to 16Jan 23, 2023 to Jan 4, 2024
- Individual clients · unset to 0.0Jan 23, 2023 to Jan 4, 2024
- Pension plan clients · 1 to 2Jan 23, 2023 to Jan 4, 2024
- Discretionary RAUM · $111M to $143MJan 23, 2023 to Jan 4, 2024
- HNW RAUM · $94.3M to $120MJan 23, 2023 to Jan 4, 2024
- Individual RAUM · unset to 0.0Jan 23, 2023 to Jan 4, 2024
- Pension RAUM · $11.5M to $15.2MJan 23, 2023 to Jan 4, 2024
- RAUM · $111M to $143MJan 23, 2023 to Jan 4, 2024
- Accounts · 27 to 29Jan 7, 2022 to Jan 23, 2023
- HNW clients · 24 to 26Jan 7, 2022 to Jan 23, 2023
- Discretionary RAUM · $115M to $111MJan 7, 2022 to Jan 23, 2023
- HNW RAUM · $93.4M to $94.3MJan 7, 2022 to Jan 23, 2023
- Pension RAUM · $13.5M to $11.5MJan 7, 2022 to Jan 23, 2023
- RAUM · $115M to $111MJan 7, 2022 to Jan 23, 2023
- Accounts · 30 to 27Jan 7, 2021 to Jan 7, 2022
- Corporate clients · 3 to 2Jan 7, 2021 to Jan 7, 2022
- Pension plan clients · 3 to 1Jan 7, 2021 to Jan 7, 2022
- Discretionary RAUM · $116M to $115MJan 7, 2021 to Jan 7, 2022
- HNW RAUM · $87.2M to $93.4MJan 7, 2021 to Jan 7, 2022
- Pension RAUM · $22.0M to $13.5MJan 7, 2021 to Jan 7, 2022
- RAUM · $116M to $115MJan 7, 2021 to Jan 7, 2022
- Accounts · 32 to 30Jun 29, 2020 to Jan 7, 2021
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 412-585-5014reportedpublic record, Form ADV, Jul 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026