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••••• A••••••••• I••
Latest filing Feb 18, 2026
First filing on the tape Mar 5, 2012 · 26 filings
SEC status approved since Mar 24, 1986
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$157M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$233M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$233M as of Feb 18, 2026
Mar 5, 2012$198M then
HNW client RAUM$147M as of Feb 18, 2026
Mar 19, 2018$66.0M then
State-registered IARs (5.B.3)1 as of Feb 18, 2026
Mar 5, 20120 then
Employees (5.A)3 as of Feb 18, 2026
Mar 6, 20135 then
Private funds: no history
RAUM -0.8% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 18, 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
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$147M63%
- Pension and profit-sharing plans$53.8M23%
- Charitable organizations$21.4M9.2%
- Individuals$9.8M4.2%
- Individual clients
- 23reported
- HNW clients
- 39reported
- Pension plan clients
- 2reported
- Charitable clients
- 8reported
- Accounts
- 121reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.32 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 |
|---|---|---|---|---|
| M••• C•••••• S••••••• | Baltimore, Md | Mar 31, 1994 | 41 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
- T••••• N••••• T•••••••• to U•• F•••••••• S••••••• I•••Nov 6, 2006 · Other
Joined, latest
- T••••• N••••• T•••••••• from D••••••• B••• S••••••••• I•••Nov 11, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• S••••• W••••••• · Chairmancontrolsince 12/2010 · owns less than 5%
- O•••••• N••••• V•• D••• · Vice President/Chief Compliance Officer/Treasurercontrolsince 02/2008 · owns 25% to 50%
- S•••••••• M•••• C•••••• · Presidentcontrolsince 12/2010 · owns 50% to 75%
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 · 126 to 121Feb 7, 2025 to Feb 18, 2026
- Charity clients · 7 to 8Feb 7, 2025 to Feb 18, 2026
- Individual clients · 25 to 23Feb 7, 2025 to Feb 18, 2026
- Pension plan clients · 3 to 2Feb 7, 2025 to Feb 18, 2026
- Discretionary RAUM · $234M to $233MFeb 7, 2025 to Feb 18, 2026
- HNW RAUM · $150M to $147MFeb 7, 2025 to Feb 18, 2026
- Individual RAUM · $9.7M to $9.8MFeb 7, 2025 to Feb 18, 2026
- Pension RAUM · $47.6M to $53.8MFeb 7, 2025 to Feb 18, 2026
- RAUM · $234M to $233MFeb 7, 2025 to Feb 18, 2026
- Accounts · 123 to 126Feb 20, 2024 to Feb 7, 2025
- HNW clients · 38 to 39Feb 20, 2024 to Feb 7, 2025
- Individual clients · 23 to 25Feb 20, 2024 to Feb 7, 2025
- Financial planning clients · unset to Feb 20, 2024 to Feb 7, 2025
- Discretionary RAUM · $195M to $234MFeb 20, 2024 to Feb 7, 2025
- HNW RAUM · $121M to $150MFeb 20, 2024 to Feb 7, 2025
- Individual RAUM · $7.4M to $9.7MFeb 20, 2024 to Feb 7, 2025
- Pension RAUM · $42.6M to $47.6MFeb 20, 2024 to Feb 7, 2025
- RAUM · $195M to $234MFeb 20, 2024 to Feb 7, 2025
- Accounts · 120 to 123Jan 30, 2023 to Feb 20, 2024
- Charity clients · 5 to 7Jan 30, 2023 to Feb 20, 2024
- HNW clients · 33 to 38Jan 30, 2023 to Feb 20, 2024
- Individual clients · 29 to 23Jan 30, 2023 to Feb 20, 2024
- Discretionary RAUM · $160M to $195MJan 30, 2023 to Feb 20, 2024
- HNW RAUM · $82.2M to $121MJan 30, 2023 to Feb 20, 2024
- Individual RAUM · $12.9M to $7.4MJan 30, 2023 to Feb 20, 2024
- Pension RAUM · $44.0M to $42.6MJan 30, 2023 to Feb 20, 2024
- RAUM · $160M to $195MJan 30, 2023 to Feb 20, 2024
- Accounts · 111 to 120Mar 3, 2022 to Jan 30, 2023
- Charity clients · 7 to 5Mar 3, 2022 to Jan 30, 2023
- HNW clients · 38 to 33Mar 3, 2022 to Jan 30, 2023
- Individual clients · 20 to 29Mar 3, 2022 to Jan 30, 2023
- Pension plan clients · 4 to 3Mar 3, 2022 to Jan 30, 2023
- Discretionary RAUM · $232M to $160MMar 3, 2022 to Jan 30, 2023
- HNW RAUM · $119M to $82.2MMar 3, 2022 to Jan 30, 2023
- Individual RAUM · $8.7M to $12.9MMar 3, 2022 to Jan 30, 2023
- Pension RAUM · $62.6M to $44.0MMar 3, 2022 to Jan 30, 2023
- RAUM · $232M to $160MMar 3, 2022 to Jan 30, 2023
- Accounts · 112 to 111Feb 8, 2021 to Mar 3, 2022
- Charity clients · 6 to 7Feb 8, 2021 to Mar 3, 2022
- HNW clients · 39 to 38Feb 8, 2021 to Mar 3, 2022
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
- Business phone
- 410-377-9780reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-244-8730reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-377-9780reportedpublic record, Form ADV, Feb 18, 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
- $233Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026