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•••••• C•••••• M••••••••• I••
Latest filing Jul 29, 2026
First filing on the tape Feb 28, 2012 · 25 filings
SEC status approved since Jun 22, 1994
RAUM
$496M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$352M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$496M as of Jul 29, 2026
Feb 28, 2012$255M then
HNW client RAUM$324M as of Jul 29, 2026
Mar 23, 2018$209M then
State-registered IARs (5.B.3)4 as of Jul 29, 2026
Feb 28, 20120 then
Employees (5.A)8 as of Jul 29, 2026
Feb 22, 20137 then
Private funds: no history
RAUM +4.0% over the last fiscal year+6.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 29, 2026; 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
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $125M, 74 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$324M65%
- Charitable organizations$104M21%
- Pension and profit-sharing plans$29.6M6.0%
- Individuals$28.1M5.7%
- Corporations and businesses$10.3M2.1%
- Individual clients
- 83reported
- HNW clients
- 90reported
- Pension plan clients
- 2reported
- Charitable clients
- 17reported
- Accounts
- 373reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 74 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• M•••• | Fort Wayne, In | Dec 30, 1998 | 32 y | 0 |
| G••••• R••••• D•••••Chartered Financial Analyst | Fort Wayne, In | Dec 30, 1998 | 28 y | 0 |
| J••• D•••• M••••Chartered Financial Analyst | Fort Wayne, In | Apr 6, 2000 | 26 y | 0 |
| A••• A•••••• B•••• | Fort Wayne, In | Feb 11, 2026 | 11 y | 0 |
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
- N••• H••••• K••• to S•••• C••••••••• G••••• L••Jan 27, 2022 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• V•••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- M••••• D••••• M•••••• · Chief Executive Officer, Senior Investment Officercontrolsince 08/1994 · owns 10% to 25%
- M••••• J•••• D•••• · President, Chief Investment Officer, Senior Analystcontrolsince 02/2000 · owns 25% to 50%
- M••••••• K••••••••• K•••• · Directorcontrolsince 09/2007 · owns 25% to 50%
- T•••••• T•••••• J•••• · Vice President, Secretary-Treasurer, Chief Financial Officercontrolsince 01/2016 · 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 |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 365 to 373Feb 14, 2025 to Mar 24, 2026
- Charity clients · 18 to 17Feb 14, 2025 to Mar 24, 2026
- HNW clients · 88 to 90Feb 14, 2025 to Mar 24, 2026
- Individual clients · 78 to 83Feb 14, 2025 to Mar 24, 2026
- Assets in custody · $142M to $125MFeb 14, 2025 to Mar 24, 2026
- Employees · 9 to 8Feb 14, 2025 to Mar 24, 2026
- State-registered IARs · 3 to 4Feb 14, 2025 to Mar 24, 2026
- Discretionary RAUM · $476M to $496MFeb 14, 2025 to Mar 24, 2026
- HNW RAUM · $301M to $324MFeb 14, 2025 to Mar 24, 2026
- Individual RAUM · $29.3M to $28.1MFeb 14, 2025 to Mar 24, 2026
- Pension RAUM · $28.5M to $29.6MFeb 14, 2025 to Mar 24, 2026
- RAUM · $476M to $496MFeb 14, 2025 to Mar 24, 2026
- Accounts · 347 to 365Apr 5, 2024 to Feb 14, 2025
- Charity clients · 19 to 18Apr 5, 2024 to Feb 14, 2025
- HNW clients · 89 to 88Apr 5, 2024 to Feb 14, 2025
- Individual clients · 86 to 78Apr 5, 2024 to Feb 14, 2025
- Assets in custody · $107M to $142MApr 5, 2024 to Feb 14, 2025
- Employees · 8 to 9Apr 5, 2024 to Feb 14, 2025
- Financial planning clients · 0 to 1-10Apr 5, 2024 to Feb 14, 2025
- Discretionary RAUM · $414M to $476MApr 5, 2024 to Feb 14, 2025
- HNW RAUM · $258M to $301MApr 5, 2024 to Feb 14, 2025
- Individual RAUM · $26.1M to $29.3MApr 5, 2024 to Feb 14, 2025
- Pension RAUM · $25.4M to $28.5MApr 5, 2024 to Feb 14, 2025
- RAUM · $414M to $476MApr 5, 2024 to Feb 14, 2025
- Accounts · 346 to 347Feb 22, 2024 to Feb 26, 2024
- Charity clients · 18 to 19Feb 22, 2024 to Feb 26, 2024
- HNW clients · 104 to 89Feb 22, 2024 to Feb 26, 2024
- Individual clients · 85 to 86Feb 22, 2024 to Feb 26, 2024
- Assets in custody · $111M to $107MFeb 22, 2024 to Feb 26, 2024
- Employees · 9 to 8Feb 22, 2024 to Feb 26, 2024
- Discretionary RAUM · $409M to $414MFeb 22, 2024 to Feb 26, 2024
- HNW RAUM · $261M to $258MFeb 22, 2024 to Feb 26, 2024
- Individual RAUM · $23.0M to $26.1MFeb 22, 2024 to Feb 26, 2024
- Pension RAUM · $24.1M to $25.4MFeb 22, 2024 to Feb 26, 2024
- RAUM · $409M to $414MFeb 22, 2024 to Feb 26, 2024
- Accounts · 266 to 346Mar 16, 2022 to Mar 14, 2023
- Charity clients · 20 to 18Mar 16, 2022 to Mar 14, 2023
- Corporate clients · unset to 2.0Mar 16, 2022 to Mar 14, 2023
- HNW clients · 127 to 104Mar 16, 2022 to Mar 14, 2023
- Individual clients · 114 to 85Mar 16, 2022 to Mar 14, 2023
Signals
2 dated events
- N••• H••••• K••• left M•••••• C•••••• M••••••••• I•• for S•••• C••••••••• G••••• L•• (registered 2022-05-11)Jan 27, 2022 · Advisor changed firm · fact
- Vicki Bandor Braun (Chief Compliance Officer) appeared on Schedule A of M•••••• C•••••• M••••••••• I••Mar 11, 2020 · 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
- Website
- M••••••CAPITALMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 260-422-2765reportedpublic record, Form ADV, Jul 29, 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026