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• I••

Former SEC-registered adviserSan Diego, CaliforniaCRD 107305SEC 801-9157IAPD
Latest filing Jan 28, 2020
First filing on the tape Mar 7, 2012 · 14 filings
RAUM
$291M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
100%
$291M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$291M as of Jan 28, 2020
Mar 7, 2012$186M then
HNW client RAUM$283M as of Jan 28, 2020
Mar 28, 2018$320M then
State-registered IARs (5.B.3)2 as of Jan 28, 2020
Mar 7, 20120 then
Employees (5.A)2 as of Jan 28, 2020
Mar 21, 20132 then
Private funds: no history
RAUM -4.9% over the last fiscal year-0.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 28, 2020; every figure names its basis
RAUM per advisor
$145MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.9MderivedHNW RAUM over HNW clients
Average account
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
43%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.4%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Custody
$2.9M, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$283M97%
  • Individuals$7.6M2.6%
Individual clients
32reported
HNW clients
58reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
91reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.9M for 3 clientsreported
Compensation
% of AUM, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••• D•••••• J•••••• · Vice President & Cco (Since 07/1998), Trustee Of The D••••• J• R••• A•• F••••• M• R••• T••••• D•••• 1•••••••control
      since 01/2002 · owns 25% to 50%
    • R•••• F•••••• M•••• · Trustee Of The D••••• J• R••• A•• F••••• M• R••• T••••• D•••• 1•••••••control
      since 01/2002 · owns 25% to 50%
    • W••••••••• D••••••• K•• · Trustee Of T•• M•••••• R• W••••••••• A•• D•••••• K• W••••••••• T••••• D•••• 1•••••••••control
      since 12/1989 · owns 50% to 75%
    • W••••••••• M••••••• R•• · President (Since 07/1998), Trustee Of T•• M•••••• R• W••••••••• A•• D•••••• K• W••••••••• T••••• D•••• 1•••••••••control
      since 12/1989 · owns 50% to 75%
    Entity owners
    • D••••• J• R••• A•• F••••• M• R••• T••••• D•••• 1••••••• · Shareholder
      direct · owns 25% to 50%
    • T•• M•••••• R• W••••••••• A•• D•••••• K• W••••••••• T••••• D•••• 1••••••••• · Shareholder
      direct · 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 · 184 to 91
      Aug 5, 2019 to Jan 28, 2020
    • HNW clients · 45 to 58
      Aug 5, 2019 to Jan 28, 2020
    • Individual clients · 38 to 32
      Aug 5, 2019 to Jan 28, 2020
    • Assets in custody · $2.4M to $2.9M
      Aug 5, 2019 to Jan 28, 2020
    • Insurance-licensed employees · 0 to 2
      Aug 5, 2019 to Jan 28, 2020
    • Discretionary RAUM · $147M to $126M
      Aug 5, 2019 to Jan 28, 2020
    • HNW RAUM · $290M to $283M
      Aug 5, 2019 to Jan 28, 2020
    • Individual RAUM · $15.5M to $7.6M
      Aug 5, 2019 to Jan 28, 2020
    • Non-discretionary RAUM · $159M to $165M
      Aug 5, 2019 to Jan 28, 2020
    • RAUM · $306M to $291M
      Aug 5, 2019 to Jan 28, 2020
    • Accounts · 183 to 184
      Oct 23, 2018 to Mar 12, 2019
    • Advisory activities · 1 to 2
      Oct 23, 2018 to Mar 12, 2019
    • HNW clients · 107 to 45
      Oct 23, 2018 to Mar 12, 2019
    • Individual clients · 73 to 38
      Oct 23, 2018 to Mar 12, 2019
    • Assets in custody · unset to 2368904.0
      Oct 23, 2018 to Mar 12, 2019
    • Custody of client assets · false to true
      Oct 23, 2018 to Mar 12, 2019
    • Financial planning clients · 0 to unset
      Oct 23, 2018 to Mar 12, 2019
    • State-registered IARs · 0 to 2
      Oct 23, 2018 to Mar 12, 2019
    • Discretionary RAUM · $153M to $147M
      Oct 23, 2018 to Mar 12, 2019
    • HNW RAUM · $320M to $290M
      Oct 23, 2018 to Mar 12, 2019
    • Individual RAUM · $17.6M to $15.5M
      Oct 23, 2018 to Mar 12, 2019
    • Non-discretionary RAUM · $185M to $159M
      Oct 23, 2018 to Mar 12, 2019
    • RAUM · $338M to $306M
      Oct 23, 2018 to Mar 12, 2019
    • Accounts · 135 to 183
      Mar 28, 2017 to Mar 28, 2018
    • HNW clients · unset to 107.0
      Mar 28, 2017 to Mar 28, 2018
    • Individual clients · unset to 73.0
      Mar 28, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 28, 2018
    • Discretionary RAUM · $133M to $153M
      Mar 28, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 319656854.0
      Mar 28, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 17597169.0
      Mar 28, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $161M to $185M
      Mar 28, 2017 to Mar 28, 2018
    • RAUM · $294M to $338M
      Mar 28, 2017 to Mar 28, 2018
    • Accounts · 131 to 135
      Mar 28, 2016 to Mar 28, 2017
    • Discretionary RAUM · $102M to $133M
      Mar 28, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $161M to $161M
      Mar 28, 2016 to Mar 28, 2017
    • RAUM · $263M to $294M
      Mar 28, 2016 to Mar 28, 2017
    • Accounts · 130 to 131
      Mar 26, 2015 to Mar 28, 2016
    • Discretionary RAUM · $97.5M to $102M
      Mar 26, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $199M to $161M
      Mar 26, 2015 to Mar 28, 2016
    • RAUM · $297M to $263M
      Mar 26, 2015 to Mar 28, 2016
    Signals
    2 dated events
    • Kay D•••••• W••••••••• (Trustee Of T•• M•••••• R• W••••••••• A•• D•••••• K• W••••••••• T••••• D•••• 1•••••••••) appeared on Schedule A of M••••• • C• I••
      Mar 12, 2019 · Control person joined · fact
    • M•••• F••••• R••• (Trustee Of The D••••• J• R••• A•• F••••• M• R••• T••••• D•••• 1•••••••) appeared on Schedule A of M••••• • C• I••
      Mar 12, 2019 · 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.
    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