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•••••• F••••••••• L••
Latest filing Mar 31, 2021
First filing on the tape Mar 27, 2012 · 2 filings
RAUM
$121M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
82%
$99.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$121M as of Mar 31, 2021
Mar 27, 2012$75.1M then
HNW client RAUM: $68.3M
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Mar 27, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 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$68.3M57%
- Individuals$30.9M26%
- Pension and profit-sharing plans$19.3M16%
- Charitable organizations$2.1M1.7%
- Individual clients
- 60reported
- HNW clients
- 30reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 95reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, 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
- M••• A•••••• S••••••••• to H•••••• C•••••• M••••••••• L••May 3, 2021 · RIA to RIA
- M••••• N••••• H••• to S•••••••• I••••••••• M•••••••••Oct 29, 2014 · Other
- R••• B•••••• W••••••• to I••• C•••• F••••••••• L••Mar 27, 2013 · Other
Joined, latest
- M••••• N••••• H••• from I••••••••• C••••••• I••Feb 26, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• B•••••• C••••• · Chief Compliance Officercontrolsince 10/2004 · 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 · 97 to 95Mar 27, 2012 to Mar 31, 2021
- Advisory employees · unset to 1.0Mar 27, 2012 to Mar 31, 2021
- Advisory activities · 6 to 5Mar 27, 2012 to Mar 31, 2021
- Charity clients · unset to 2.0Mar 27, 2012 to Mar 31, 2021
- Corporate clients · unset to 0.0Mar 27, 2012 to Mar 31, 2021
- HNW clients · unset to 30.0Mar 27, 2012 to Mar 31, 2021
- Individual clients · unset to 60.0Mar 27, 2012 to Mar 31, 2021
- Pension plan clients · unset to 3.0Mar 27, 2012 to Mar 31, 2021
- Pooled vehicle clients · unset to 0.0Mar 27, 2012 to Mar 31, 2021
- Employees · unset to 1.0Mar 27, 2012 to Mar 31, 2021
- Insurance-licensed employees · 0 to 1Mar 27, 2012 to Mar 31, 2021
- State-registered IARs · 0 to 1Mar 27, 2012 to Mar 31, 2021
- Other offices · unset to 0.0Mar 27, 2012 to Mar 31, 2021
- Discretionary RAUM · $66.3M to $93.6MMar 27, 2012 to Mar 31, 2021
- HNW RAUM · unset to 68277967.0Mar 27, 2012 to Mar 31, 2021
- Individual RAUM · unset to 30922553.0Mar 27, 2012 to Mar 31, 2021
- Non-discretionary RAUM · $8.7M to $26.9MMar 27, 2012 to Mar 31, 2021
- Pension RAUM · unset to 19264402.0Mar 27, 2012 to Mar 31, 2021
- RAUM · $75.1M to $121MMar 27, 2012 to Mar 31, 2021
- Related adviser · true to falseMar 27, 2012 to Mar 31, 2021
Signals
1 dated events
- M•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2021 · First SEC registration · fact
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