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••••• A•••••••• I•••

Former SEC-registered adviserKirkland, WashingtonCRD 106603SEC 801-40998IAPD
Legal name M••••• A••••••• I••
Latest filing Oct 8, 2021
First filing on the tape Mar 29, 2012 · 22 filings
RAUM
$205M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$205M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$205M as of Mar 12, 2021
Mar 29, 2012$132M then
HNW client RAUM$165M as of Mar 12, 2021
Mar 23, 2018$138M then
State-registered IARs (5.B.3)5 as of Mar 12, 2021
Mar 29, 20120 then
Employees (5.A)6 as of Mar 12, 2021
Mar 18, 20135 then
Private funds: no history
RAUM +0.4% over the last fiscal year+2.8% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Oct 8, 2021; every figure names its basis
RAUM per advisor
$41.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$462,351derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, 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
  • High-net-worth individuals$165M81%
  • Individuals$40.0M19%
Individual clients
139reported
HNW clients
75reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
444reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• K•••••••• A•• · Presidentcontrol
      since 02/1992 · owns less than 5%
    • P••••• N•••••• M••••• · Chief Compliance Officer/Managing Partnercontrol
      since 03/2017 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 519 to 444
      Oct 27, 2020 to Mar 12, 2021
    • HNW clients · 78 to 75
      Oct 27, 2020 to Mar 12, 2021
    • Individual clients · 183 to 139
      Oct 27, 2020 to Mar 12, 2021
    • Discretionary RAUM · $190M to $188M
      Oct 27, 2020 to Mar 12, 2021
    • HNW RAUM · $158M to $165M
      Oct 27, 2020 to Mar 12, 2021
    • Individual RAUM · $46.8M to $40.0M
      Oct 27, 2020 to Mar 12, 2021
    • Non-discretionary RAUM · $14.8M to $17.4M
      Oct 27, 2020 to Mar 12, 2021
    • RAUM · $204M to $205M
      Oct 27, 2020 to Mar 12, 2021
    • HNW clients · 52 to 78
      Mar 27, 2019 to Feb 20, 2020
    • Individual clients · 172 to 183
      Mar 27, 2019 to Feb 20, 2020
    • Employees · 7 to 6
      Mar 27, 2019 to Feb 20, 2020
    • State-registered IARs · 4 to 5
      Mar 27, 2019 to Feb 20, 2020
    • Discretionary RAUM · $166M to $190M
      Mar 27, 2019 to Feb 20, 2020
    • HNW RAUM · $129M to $158M
      Mar 27, 2019 to Feb 20, 2020
    • Individual RAUM · $47.7M to $46.8M
      Mar 27, 2019 to Feb 20, 2020
    • Non-discretionary RAUM · $9.9M to $14.8M
      Mar 27, 2019 to Feb 20, 2020
    • RAUM · $176M to $204M
      Mar 27, 2019 to Feb 20, 2020
    • Accounts · 512 to 519
      Jul 24, 2018 to Mar 20, 2019
    • Individual clients · 151 to 172
      Jul 24, 2018 to Mar 20, 2019
    • Discretionary RAUM · $177M to $166M
      Jul 24, 2018 to Mar 20, 2019
    • HNW RAUM · $139M to $129M
      Jul 24, 2018 to Mar 20, 2019
    • Individual RAUM · $50.5M to $47.7M
      Jul 24, 2018 to Mar 20, 2019
    • Non-discretionary RAUM · $12.5M to $9.9M
      Jul 24, 2018 to Mar 20, 2019
    • RAUM · $189M to $176M
      Jul 24, 2018 to Mar 20, 2019
    • HNW clients · 53 to 52
      Mar 23, 2018 to May 29, 2018
    • Individual clients · 150 to 151
      Mar 23, 2018 to May 29, 2018
    • HNW RAUM · $138M to $139M
      Mar 23, 2018 to May 29, 2018
    • Individual RAUM · $51.5M to $50.5M
      Mar 23, 2018 to May 29, 2018
    • Accounts · 469 to 512
      Jun 8, 2017 to Mar 23, 2018
    • HNW clients · unset to 53.0
      Jun 8, 2017 to Mar 23, 2018
    • Individual clients · unset to 150.0
      Jun 8, 2017 to Mar 23, 2018
    • Employees · 8 to 7
      Jun 8, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Jun 8, 2017 to Mar 23, 2018
    • Discretionary RAUM · $150M to $177M
      Jun 8, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 137582158.0
      Jun 8, 2017 to Mar 23, 2018
    • Individual RAUM · unset to 51544953.0
      Jun 8, 2017 to Mar 23, 2018
    • Non-discretionary RAUM · $11.6M to $12.5M
      Jun 8, 2017 to Mar 23, 2018
    • RAUM · $162M to $189M
      Jun 8, 2017 to Mar 23, 2018
    • Accounts · 404 to 469
      Apr 14, 2016 to Mar 21, 2017
    • Advisory employees · 3 to 4
      Apr 14, 2016 to Mar 21, 2017
    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.
    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