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••••• V•• C••••••••• I•••
Latest filing Mar 27, 2023
First filing on the tape Mar 23, 2012 · 26 filings
RAUM
$5.9B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
7.6%
$448M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$5.9B as of Mar 27, 2023
Mar 23, 2012$5.2B then
HNW client RAUM$440M as of Mar 27, 2023
Mar 30, 2018$358M then
State-registered IARs (5.B.3)6 as of Mar 27, 2023
Mar 23, 20120 then
Employees (5.A)17 as of Mar 27, 2023
Mar 28, 20138 then
Private funds: no history
RAUM -18% over the last fiscal year+1.4% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 2023; every figure names its basis
- RAUM per advisor
- $978MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $10.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $832M, 50 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$3.4B59%
- Corporations and businesses$1.1B19%
- Charitable organizations$533M9.1%
- High-net-worth individuals$440M7.5%
- State and municipal entities$202M3.4%
- Insurance companies$162M2.8%
- Individuals$7.9M0.1%
- Individual clients
- 14reported
- HNW clients
- 40reported
- Pension plan clients
- 19reported
- Charitable clients
- 22reported
- Accounts
- 578reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $832M for 50 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- J••••• A••••••• to C•••••••• G••••• M•••••• I•••Aug 17, 2018 · Other
- W•••••• H••••• C••••• to M••••• S••••••Sep 6, 2012 · Other
- L••••• J••••• R••• to L••••••• W•••••• I•••Feb 18, 2011 · Other
- R••••• J••• M••••• to F••••••••• L••Jul 18, 2006 · Other
- V••••••• P••••••• S•••• to C•••••••• G••••• M•••••• I•••Jul 15, 2002 · Other
- M••• W•••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 7, 2002 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J•••••• · Chairman/Ceo/Cfocontrolsince 12/1994 · owns less than 5%
- S••••••• J••••• L••• · President/Secretary/Chief Compliance Officer/Coocontrolsince 01/2003 · owns less than 5%
- V••• T••••••• J••• · Co-Chairmancontrolsince 12/1994 · owns less than 5%
- G••••••••• B•••••••• S••••• · Board Of Managerscontrolsince 04/2010 · owns F of T•• C••••••••• G••••• L••
- H••••• W•••••• S•••• · Board Of Managerscontrolsince 05/2015 · owns F of T•• C••••••••• G••••• L••
- M•••••• J••••• F••••••• · Board Of Managerscontrolsince 05/2015 · owns F of T•• C••••••••• G••••• L••
- M•••••• J••••• F••••••• · Directorcontrolsince 05/2015 · owns 25% to 50% of C••••••••• H•••••••• I•••
- C•••••••• T••••••• A••••• R••••• · Executive Vice Presidentsince 01/2003 · owns less than 5%
- H••••••••• M••••••• S• · Board Of Managerssince 06/2020 · owns F of T•• C••••••••• G••••• L••
- R••••• C•••••• E••••• · Board Of Managerssince 06/2020 · owns F of T•• C••••••••• G••••• L••
- S••••• D••••• M•••• · Board Of Managerssince 08/2020 · owns F of T•• C••••••••• G••••• L••
- S••••••• R•••••• G• · Board Of Managerssince 05/2015 · owns F of T•• C••••••••• G••••• L••
- S••••••• R•••••• G• · Directorsince 05/2015 · owns F of C••••••••• H•••••••• I•••
- W•••••• M•••• S•••••• · Board Of Managerssince 06/2020 · owns F of T•• C••••••••• G••••• L••
Entity owners
- T•• C••••••••• G••••• L•• · Owner/Memberdirect · owns 75% or more
- C••••••••• H•••••••• I••• · Memberindirect · owns 25% to 50% of T•• C••••••••• G••••• L••
- G••• F••• X•••• L• · Memberindirect · owns 75% or more of H••••••• H••••••• L••
- H••••••• H••••••• L•• · Voting And Non-Voting Memberindirect · owns 25% to 50% of T•• C••••••••• G••••• L••
Related persons
Schedule D 7.A
- C•••••••investment advisernRAUM $1237B
- C••••••• Financial Advisorsbroker-dealernRAUM $116B
Offices
Schedule D 1.F, the 25 largest
- Birmingham, AL1 employees
What changed
consecutive filings, newest first
- Accounts · 536 to 578Feb 16, 2023 to Mar 27, 2023
- HNW clients · 42 to 40Feb 16, 2023 to Mar 27, 2023
- Individual clients · 13 to 14Feb 16, 2023 to Mar 27, 2023
- Pension plan clients · 20 to 19Feb 16, 2023 to Mar 27, 2023
- Assets in custody · $845M to $832MFeb 16, 2023 to Mar 27, 2023
- Insurance-licensed employees · 0 to 6Feb 16, 2023 to Mar 27, 2023
- HNW RAUM · $435M to $440MFeb 16, 2023 to Mar 27, 2023
- Individual RAUM · $5.7M to $7.9MFeb 16, 2023 to Mar 27, 2023
- Non-discretionary RAUM · $7.1B to $5.9BFeb 16, 2023 to Mar 27, 2023
- Pension RAUM · $4.3B to $3.4BFeb 16, 2023 to Mar 27, 2023
- RAUM · $7.1B to $5.9BFeb 16, 2023 to Mar 27, 2023
- Related adviser · false to trueDec 16, 2022 to Feb 16, 2023
- Related broker-dealer · false to trueDec 16, 2022 to Feb 16, 2023
- Accounts · 549 to 536Feb 15, 2022 to Mar 24, 2022
- HNW clients · 40 to 42Feb 15, 2022 to Mar 24, 2022
- Pension plan clients · 21 to 20Feb 15, 2022 to Mar 24, 2022
- Commission compensation · true to falseFeb 15, 2022 to Mar 24, 2022
- Assets in custody · $452M to $845MFeb 15, 2022 to Mar 24, 2022
- State-registered IARs · 5 to 6Feb 15, 2022 to Mar 24, 2022
- HNW RAUM · $410M to $435MFeb 15, 2022 to Mar 24, 2022
- Individual RAUM · $7.4M to $5.7MFeb 15, 2022 to Mar 24, 2022
- Non-discretionary RAUM · $6.5B to $7.1BFeb 15, 2022 to Mar 24, 2022
- Pension RAUM · $3.9B to $4.3BFeb 15, 2022 to Mar 24, 2022
- RAUM · $6.5B to $7.1BFeb 15, 2022 to Mar 24, 2022
- BD registered reps · 6 to 0Nov 12, 2021 to Feb 15, 2022
- Employees · 18 to 17Nov 12, 2021 to Feb 15, 2022
- Related broker-dealer · true to falseNov 12, 2021 to Feb 15, 2022
- Accounts · 473 to 549Nov 5, 2020 to Mar 30, 2021
- Business name · M••••• V•• C••••••••• G••••• I••• to M••••• V•• C••••••••• I•••Nov 5, 2020 to Mar 30, 2021
- HNW clients · 39 to 40Nov 5, 2020 to Mar 30, 2021
- Individual clients · 9 to 13Nov 5, 2020 to Mar 30, 2021
- Assets in custody · $433M to $452MNov 5, 2020 to Mar 30, 2021
- Legal name · THE M••••• VOS C••••••••• GROUP INC. to M••••• V•• C••••••••• I•••Nov 5, 2020 to Mar 30, 2021
- HNW RAUM · $392M to $410MNov 5, 2020 to Mar 30, 2021
- Individual RAUM · $6.4M to $7.4MNov 5, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $5.6B to $6.5BNov 5, 2020 to Mar 30, 2021
- Pension RAUM · $3.6B to $3.9BNov 5, 2020 to Mar 30, 2021
- RAUM · $5.6B to $6.5BNov 5, 2020 to Mar 30, 2021
- Succession · true to falseNov 5, 2020 to Mar 30, 2021
- Succession · false to trueJun 30, 2020 to Nov 5, 2020
Signals
5 dated events
- M••••• V•• C••••••••• I•••'s advisors moved to C••••••• (Houston, TX): 3 of 3 registered, on the same dayJul 31, 2023 · Firm absorbed (people side) · derived
- Fielding James Miller (Director) appeared on Schedule A of M••••• V•• C••••••••• I•••Mar 27, 2023 · Control person joined · fact
- Smith W••••• Hoyle (Board Of Managers) appeared on Schedule A of M••••• V•• C••••••••• I•••Mar 27, 2023 · Control person joined · fact
- Stuart Benjamin Goldstein (Board Of Managers) appeared on Schedule A of M••••• V•• C••••••••• I•••Mar 27, 2023 · Control person joined · fact
- M••••• V•• C••••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 5, 2020 · Succession (Item 4) · 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