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•••••• M••••••••• L••

Former SEC-registered adviserAnchorage, AlaskaCRD 106173SEC 801-38751websiteIAPD
Latest filing Apr 30, 2024
First filing on the tape Mar 30, 2012 · 47 filings
SEC status approved since Apr 30, 1991
RAUM
$996M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
20%
$199M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$255M gross assets
History
47 filings and snapshots on the tape
RAUM$996M as of Jan 23, 2024
Mar 30, 2012$8.6B then
HNW client RAUM$143M as of Jan 23, 2024
Mar 13, 2018$131M then
State-registered IARs (5.B.3)0 as of Jan 23, 2024
Apr 1, 20133 then
Employees (5.A)10 as of Jan 23, 2024
Apr 1, 201376 then
Private funds2 as of Jan 23, 2024
Mar 30, 20125 then
RAUM -57% over the last fiscal year-37% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Apr 30, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-57%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$177M, 3 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$597M60%
  • High-net-worth individuals$143M14%
  • Pooled investment vehicles$127M13%
  • Individuals$56.4M5.7%
  • Pension and profit-sharing plans$25.8M2.6%
  • Charitable organizations$21.8M2.2%
  • Corporations and businesses$21.3M2.1%
Individual clients
199reported
HNW clients
71reported
Pension plan clients
3reported
Charitable clients
6reported
Accounts
301reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $119M managedreported
Custody of client assets
$177M for 3 clientsreported
Compensation
% of AUM, fixed, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• C•••••• M•••• F••••• F••• L•Private Equity Fund$127M2Nov 8, 2018
      M••••••• N••••••• D•••••••• ••••••• G••••• M••••• F•••• L•••no longer reportedOther Private Fund$94.9M1Mar 30, 2012
      M••••••• N••••••• ••••••• G••••• F•••• L•••no longer reportedOther Private Fund$57.6M1Mar 29, 2016
      M••••••• C•••••• I••••••••• G••••• F•••• L•••Other Private Fund$43.1M2Mar 30, 2012
      M••••••• C•••••• E••••••• M•••••• G••••• F•••Other Private Fund$12.6M1Mar 30, 2012
      M••••••• C•••••• N••••• S•••• C•• G••••• F•••no longer reportedOther Private Fund$311,1574Oct 31, 2013
      M••••••• O•••••• D••••••• G••••• F•••• L•••no longer reportedOther Private Fund$00Mar 30, 2012
      M••••••• G••••• G••••• M••••• F•••• L•••no longer reportedOther Private Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• R•••••• A••••• · Chief Investment Officer Of G••••• Equitiescontrol
        since 12/2023 · owns less than 5%
      • L•••• D••••••• A••• · Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • L••••••• K••••••• P••• · Chief Operating Officercontrol
        since 02/2021 · owns less than 5%
      • M•••••• M••••••• R••••• · Senior Vice Presidentcontrol
        since 01/2024 · owns 10% to 25%
      • S••••••••• R•••••• G••••••• · Presidentcontrol
        since 01/2024 · owns 50% to 75%
      • S••••••••• R•••••• G••••••• · Owner/Presidentcontrol
        since 02/2001 · owns 50% to 75% of D••••• A•••••••• L••
      Entity owners
      • D••••• A•••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••••• A•••••••• L••
        investment adviseryRAUM $1.4B
      • M••••••• C•••••• M•••• F••••• F••• G• L••
        pooled vehicle sponsory
      • M••••••• C•••••• M•••• F••••• F••• L•
        pooled vehicle sponsory
      • M••••••• C•••••• M•••• F••• O••• L••••••
        pooled vehicle sponsory
      Advisers that list M••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 309 to 301
        Dec 21, 2023 to Jan 23, 2024
      • Advisory employees · 8 to 9
        Dec 21, 2023 to Jan 23, 2024
      • Corporate clients · 17 to 16
        Dec 21, 2023 to Jan 23, 2024
      • HNW clients · 73 to 71
        Dec 21, 2023 to Jan 23, 2024
      • Individual clients · 201 to 199
        Dec 21, 2023 to Jan 23, 2024
      • Pooled vehicle clients · 4 to 1
        Dec 21, 2023 to Jan 23, 2024
      • Employees · 19 to 10
        Dec 21, 2023 to Jan 23, 2024
      • Private funds · 4 to 2
        Dec 21, 2023 to Jan 23, 2024
      • Discretionary RAUM · $967M to $988M
        Dec 21, 2023 to Jan 23, 2024
      • HNW RAUM · $135M to $143M
        Dec 21, 2023 to Jan 23, 2024
      • Individual RAUM · $54.4M to $56.4M
        Dec 21, 2023 to Jan 23, 2024
      • Pension RAUM · $25.7M to $25.8M
        Dec 21, 2023 to Jan 23, 2024
      • Pooled vehicle RAUM · $173M to $127M
        Dec 21, 2023 to Jan 23, 2024
      • RAUM · $974M to $996M
        Dec 21, 2023 to Jan 23, 2024
      • Wrap assets (manager) · $119M to $119M
        Dec 21, 2023 to Jan 23, 2024
      • Accounts · 359 to 309
        May 8, 2023 to Oct 30, 2023
      • Advisory employees · 15 to 8
        May 8, 2023 to Oct 30, 2023
      • Advisory activities · 6 to 5
        May 8, 2023 to Oct 30, 2023
      • Charity clients · 5 to 6
        May 8, 2023 to Oct 30, 2023
      • Corporate clients · 18 to 17
        May 8, 2023 to Oct 30, 2023
      • HNW clients · 84 to 73
        May 8, 2023 to Oct 30, 2023
      • Individual clients · 225 to 201
        May 8, 2023 to Oct 30, 2023
      • Pension plan clients · 4 to 3
        May 8, 2023 to Oct 30, 2023
      • Pooled vehicle clients · 5 to 4
        May 8, 2023 to Oct 30, 2023
      • Assets in custody · $165M to $177M
        May 8, 2023 to Oct 30, 2023
      • Employees · 32 to 19
        May 8, 2023 to Oct 30, 2023
      • Other offices · 1 to 0
        May 8, 2023 to Oct 30, 2023
      • Discretionary RAUM · $1.9B to $967M
        May 8, 2023 to Oct 30, 2023
      • HNW RAUM · $130M to $135M
        May 8, 2023 to Oct 30, 2023
      • Individual RAUM · $55.2M to $54.4M
        May 8, 2023 to Oct 30, 2023
      • Non-discretionary RAUM · $385M to $7.6M
        May 8, 2023 to Oct 30, 2023
      • Pension RAUM · $219M to $25.7M
        May 8, 2023 to Oct 30, 2023
      • Pooled vehicle RAUM · $190M to $173M
        May 8, 2023 to Oct 30, 2023
      • RAUM · $2.3B to $974M
        May 8, 2023 to Oct 30, 2023
      • Wrap assets (manager) · $128M to $119M
        May 8, 2023 to Oct 30, 2023
      • Accounts · 362 to 359
        Nov 4, 2022 to Mar 30, 2023
      • Advisory employees · 20 to 15
        Nov 4, 2022 to Mar 30, 2023
      • Charity clients · 7 to 5
        Nov 4, 2022 to Mar 30, 2023
      • Corporate clients · 9 to 18
        Nov 4, 2022 to Mar 30, 2023
      • HNW clients · 58 to 84
        Nov 4, 2022 to Mar 30, 2023
      Signals
      30 dated events
      • M••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $995.9M)
        May 2, 2025 · Left the SEC roster · derived
      • D••••• A•••••••• L•• reported succeeding to the business of M••••••• C•••••• M••••••••• L•• (Form ADV Item 4)
        Apr 7, 2025 · Succession (Item 4) · fact
      • Ann Jill Mcleod (General Counsel) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2023-12-21, absent 2024-01-23)
        Jan 23, 2024 · Control person left · inference
      • M•••••• J•••• C••••• (Mckinley Management, Inc. Fourth Amended And Restated Voting Trust Dtd Dec 31, 2022 Ttee (See Schedule D-Misc)) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2023-12-21, absent 2024-01-23)
        Jan 23, 2024 · Control person left · inference
      • Troester Stacia Gillam (Chief Strategy Officer) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2023-12-21, absent 2024-01-23)
        Jan 23, 2024 · Control person left · inference
      • James Ian Walser (Chief Financial Officer) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2023-12-21, absent 2024-01-23)
        Jan 23, 2024 · Control person left · inference
      • Robert Michael Munson (Senior Vice President) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jan 23, 2024 · Control person joined · fact
      • Guenther Robert Snigaroff (President) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jan 23, 2024 · Control person joined · fact
      • M••••••• C•••••• M••••••••• L•• reported RAUM $974.2M, down 58% from $2.3B (2023-05-08 to 2023-10-30)
        Oct 30, 2023 · RAUM change · derived
      • Irene Lily Stevens Becker (Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2022-11-04, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • Harry Ian Domowitz (Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2022-11-04, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • M••••••• C•••••• M••••••••• L•• reported RAUM $2.3B, down 40% from $3.8B (2022-11-04 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • Lewis (J.L.) James Mccarrey (Senior Legal Counsel (2019); Sr. Vp (2006)) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2022-11-04, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • J••• R•••••• N•••••• (Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2022-11-04, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • Jill Mcleod (General Counsel) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Mar 30, 2023 · Control person joined · fact
      • Ian Walser (Chief Financial Officer) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Mar 30, 2023 · Control person joined · fact
      • J••• N••••• K••••• (Chief Financial Officer) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2022-03-29, absent 2022-04-06)
        Apr 6, 2022 · Control person left · inference
      • Renee Stacia Gillam (Chief Strategy Officer) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • Paul Kenneth Lenhart (Chief Operating Officer) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • Irene Lily Stevens (Director) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Sep 2, 2020 · Control person joined · fact
      • Ann Denali Kemppel (Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2020-01-31, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • J••• N••••• K••••• (Chief Financial Officer) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jan 31, 2020 · Control person joined · fact
      • J••• R•••••• N•••••• (Director) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jan 31, 2020 · Control person joined · fact
      • Marie Diane Wilke (Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2019-07-22)
        Jul 22, 2019 · Control person left · inference
      • Harry Ian Domowitz (Director) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jul 22, 2019 · Control person joined · fact
      • Ann Denali Kemppel (Director) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jul 22, 2019 · Control person joined · fact
      • M•••••• J•••• C••••• (Vice Chair) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Jul 22, 2019 · Control person joined · fact
      • Marie Diane Wilke (Director) appeared on Schedule A of M••••••• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • M••••••• C•••••• M••••••••• L•• reported RAUM $3.8B, down 33% from $5.7B (2019-03-11 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Ann Denali Kemppel (Chief Operating Officer (2015) Vp (2016)) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2018-11-09, absent 2019-03-11)
        Mar 11, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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