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••••••• V••••• • T••••• I••
Latest filing Mar 31, 2025
First filing on the tape Mar 26, 2012 · 19 filings
SEC status approved since Aug 12, 1996
RAUM
$42.4M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
86%
$36.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$42.4M as of Mar 31, 2025
Mar 26, 2012$294M then
HNW client RAUM: $12.4M
State-registered IARs (5.B.3)5 as of Mar 31, 2025
Mar 26, 20120 then
Employees (5.A)5 as of Mar 31, 2025
Mar 25, 20138 then
Private funds: no history
RAUM -23% over the last fiscal year-49% a year over threeIARs 5 to 5offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $8.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $164,994derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, 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
- 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)
- 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
- Individuals$24.1M57%
- High-net-worth individuals$12.4M29%
- State and municipal entities$5.9M14%
- Individual clients
- 67reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 257reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- D••••• L•••• O••• to I••••••••• A••••••• N•••••• L••Dec 31, 2025 · RIA to RIA
- D•••• F••••• to E••••••• F•••••••• A•••••••May 27, 2025 · RIA to RIA
- D•••• H••• V••••• to P••••• F•••••••• A•••••••• L••Dec 14, 2018 · Other
- A••••• L••• V••••• to P••••• F•••••••• A•••••••• L••Dec 14, 2018 · Other
- D••••••• N• W•••• to P••••• F•••••••• A•••••••• L••Dec 11, 2018 · Other
- E•••• H••• A••••• to P••••• F•••••••• A•••••••• L••Nov 15, 2018 · Other
- W•••••• G••••• Y••••• to S•••••• C•••••• A•••••••• I•••Jul 9, 2018 · Other
Joined, latest
- W•••••• G••••• Y••••• from U•• F•••••••• S••••••• I•••Nov 9, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••• F•••••••• A•••••••• L••Dec 14, 2018 · Naperville, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J•••••• W•••••• · Treasurer, Director & Coocontrolsince 11/2017 · owns 25% to 50%
- M•••••••• J•••• T••••• · President, Director & Shareholdercontrolsince 01/1998 · owns 50% to 75%
- M•••••••• M••••••• · Director & Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
- O•••• D•••••• L•••• · Directorcontrolsince 12/2020 · 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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 222 to 257Mar 28, 2024 to Mar 31, 2025
- Charity clients · 2.0 to unsetMar 28, 2024 to Mar 31, 2025
- HNW clients · unset to 5.0Mar 28, 2024 to Mar 31, 2025
- Individual clients · 87 to 67Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- Other offices · 1 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $52.4M to $39.3MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · unset to 12415703.0Mar 28, 2024 to Mar 31, 2025
- Individual RAUM · $29.2M to $24.1MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $3.0M to $3.1MMar 28, 2024 to Mar 31, 2025
- RAUM · $55.4M to $42.4MMar 28, 2024 to Mar 31, 2025
- Accounts · 203 to 222Mar 29, 2023 to Mar 28, 2024
- Individual clients · 83 to 87Mar 29, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 5Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $54.4M to $52.4MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $24.7M to $29.2MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $2.4M to $3.0MMar 29, 2023 to Mar 28, 2024
- RAUM · $56.8M to $55.4MMar 29, 2023 to Mar 28, 2024
- Accounts · 228 to 203Mar 28, 2022 to Mar 29, 2023
- Charity clients · 1 to 2Mar 28, 2022 to Mar 29, 2023
- State-registered IARs · 5 to 4Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $311M to $54.4MMar 28, 2022 to Mar 29, 2023
- Individual RAUM · $29.5M to $24.7MMar 28, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $1.7M to $2.4MMar 28, 2022 to Mar 29, 2023
- RAUM · $313M to $56.8MMar 28, 2022 to Mar 29, 2023
- Accounts · 187 to 228Mar 31, 2021 to Mar 28, 2022
- Advisory employees · 6 to 5Mar 31, 2021 to Mar 28, 2022
- Individual clients · 58 to 83Mar 31, 2021 to Mar 28, 2022
- Employees · 7 to 5Mar 31, 2021 to Mar 28, 2022
- State-registered IARs · 6 to 5Mar 31, 2021 to Mar 28, 2022
- Discretionary RAUM · $297M to $311MMar 31, 2021 to Mar 28, 2022
- Individual RAUM · $22.0M to $29.5MMar 31, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $1.8M to $1.7MMar 31, 2021 to Mar 28, 2022
- RAUM · $299M to $313MMar 31, 2021 to Mar 28, 2022
- Accounts · 178 to 187Jun 24, 2020 to Mar 31, 2021
- Charity clients · unset to 1.0Jun 24, 2020 to Mar 31, 2021
- Individual clients · 41 to 58Jun 24, 2020 to Mar 31, 2021
- Discretionary RAUM · $257M to $297MJun 24, 2020 to Mar 31, 2021
- Individual RAUM · $16.8M to $22.0MJun 24, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $12.0M to $1.8MJun 24, 2020 to Mar 31, 2021
Signals
9 dated events
- D••••• L•••• O••• left M••••••• V••••• • T••••• I•• for I••••••••• A••••••• N•••••• L•• (registered 2025-07-07)Dec 31, 2025 · Advisor changed firm · fact
- D•••• F••••• left M••••••• V••••• • T••••• I•• for E••••••• F•••••••• A••••••• (registered 2025-04-14)May 27, 2025 · Advisor changed firm · fact
- M••••••• V••••• • T••••• I•• reported RAUM $56.8M, down 82% from $312.5M (2022-03-28 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- M••••••• V••••• • T••••• I•• reported RAUM $268.5M, down 41% from $455.0M (2019-03-27 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Hall David Vaught (Director & Secretary) no longer on Schedule A of M••••••• V••••• • T••••• I•• (listed 2018-08-08, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- John William Mitchell (Director) no longer on Schedule A of M••••••• V••••• • T••••• I•• (listed 2018-08-08, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Leah Amanda Vaught (Director And Shareholder) no longer on Schedule A of M••••••• V••••• • T••••• I•• (listed 2018-08-08, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- N Danielle Woods (Director) no longer on Schedule A of M••••••• V••••• • T••••• I•• (listed 2018-08-08, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- W•••••• J••••• M••••• (Treasurer And Director) appeared on Schedule A of M••••••• V••••• • T••••• I••Mar 27, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/mitchell-vaught-taylorincreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-922-1717reportedpublic record, Form ADV, Mar 31, 2025
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026