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••••• P•••••••• I••••••••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Apr 2, 2012 · 22 filings
SEC status approved since Feb 7, 1992
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$118M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$51.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$204M as of Mar 24, 2026
Apr 2, 2012$52.0M then
HNW client RAUM$118M as of Mar 24, 2026
Mar 27, 2018$55.1M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Apr 2, 20120 then
Employees (5.A)5 as of Mar 24, 2026
Apr 3, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+7.3% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $51.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $357,299derivedHNW RAUM over HNW clients
- Average account
- $615,786derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$118M58%
- Investment companies$86.2M42%
- Individual clients
- n/areported
- HNW clients
- 331reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 332reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $538,515 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.58 fund_share=0.42 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M•••• P••••••••Chartered Financial Analyst | Charleston, Sc | Apr 3, 2019 | 19 y | 2 |
| B•••••• F•••••• M•••••Chartered Financial Analyst | Alexandria, Va | Apr 3, 2019 | 44 y | 2 |
| C••••••••• E••••• L••• | Alexandria, Va | Nov 17, 2023 | 14 y | 0 |
| R•••••• P• S•••••Certified Financial Planner | Alexandria, Va | Mar 20, 2025 | 16 y | 1 |
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
- E••••• W••••••••• to W••••••••• C•••••• M••••••••• I••May 26, 2004 · Other
Joined, latest
- R•••••• P• S••••• from R• S••••• F•••••••• M••••••••• L••Mar 20, 2025 · Other
- R••• M•••• P•••••••• from M••••• S•••••• • C•• L••Sep 2, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B••••••• F•••••• · Presidentcontrolsince 11/1992 · owns 75% or more
- M••••••• A•••••• H•••• · Chief Compliance Officersince 10/2004 · owns less than 5%
- P••••••• P•••• G• · Directorsince 01/1993 · owns less than 5%
Related persons
Schedule D 7.A
- U•••• S••••• P••••••• L••investment adviseryRAUM $86.3M
Advisers that list M••••• P•••••••• I••••••••• M••••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alexandria, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charleston, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 230 to 332Jul 22, 2025 to Mar 24, 2026
- HNW clients · 229 to 331Jul 22, 2025 to Mar 24, 2026
- State-registered IARs · 2 to 3Jul 22, 2025 to Mar 24, 2026
- Discretionary RAUM · $174M to $204MJul 22, 2025 to Mar 24, 2026
- HNW RAUM · $96.5M to $118MJul 22, 2025 to Mar 24, 2026
- RAUM · $174M to $204MJul 22, 2025 to Mar 24, 2026
- Wrap assets (manager) · $554,637 to $538,515Jul 22, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Jul 22, 2025
- Accounts · 231 to 230Mar 18, 2024 to Mar 20, 2025
- Advisory employees · 2 to 3Mar 18, 2024 to Mar 20, 2025
- Business name · M••••• P•••••••• I••••••••• M••••••••• I••• to M••••• P•••••••• I••••••••• M••••••••• I•••Mar 18, 2024 to Mar 20, 2025
- HNW clients · 230 to 229Mar 18, 2024 to Mar 20, 2025
- Employees · 4 to 5Mar 18, 2024 to Mar 20, 2025
- Legal name · M••••• P•••••••• I••••••••• M••••••••• I••• to M••••• P•••••••• I••••••••• M••••••••• I•••Mar 18, 2024 to Mar 20, 2025
- Discretionary RAUM · $163M to $174MMar 18, 2024 to Mar 20, 2025
- HNW RAUM · $87.8M to $96.5MMar 18, 2024 to Mar 20, 2025
- RAUM · $163M to $174MMar 18, 2024 to Mar 20, 2025
- Wrap assets (manager) · $514,103 to $554,637Mar 18, 2024 to Mar 20, 2025
- Accounts · 228 to 231May 11, 2023 to Mar 18, 2024
- Business name · M••••• I••••••••• M••••••••• I•• to M••••• P•••••••• I••••••••• M••••••••• I•••May 11, 2023 to Mar 18, 2024
- Corporate clients · 3.0 to unsetMay 11, 2023 to Mar 18, 2024
- HNW clients · 224 to 230May 11, 2023 to Mar 18, 2024
- Legal name · M••••• P•••••••• INVESTMENT MANAGEMENT, INC. to M••••• P•••••••• I••••••••• M••••••••• I•••May 11, 2023 to Mar 18, 2024
- Other offices · 0 to 1May 11, 2023 to Mar 18, 2024
- Discretionary RAUM · $165M to $163MMay 11, 2023 to Mar 18, 2024
- HNW RAUM · $78.4M to $87.8MMay 11, 2023 to Mar 18, 2024
- RAUM · $165M to $163MMay 11, 2023 to Mar 18, 2024
- Wrap assets (manager) · $446,132 to $514,103May 11, 2023 to Mar 18, 2024
- Legal name · M••••• I••••••••• M••••••••• I•• to M••••• P•••••••• INVESTMENT MANAGEMENT, INC.May 2, 2023 to May 11, 2023
- Accounts · 218 to 228Mar 28, 2022 to Mar 28, 2023
- Corporate clients · 1 to 3Mar 28, 2022 to Mar 28, 2023
- HNW clients · 216 to 224Mar 28, 2022 to Mar 28, 2023
- Employees · 3 to 4Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $173M to $165MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · $84.6M to $78.4MMar 28, 2022 to Mar 28, 2023
- RAUM · $173M to $165MMar 28, 2022 to Mar 28, 2023
- Wrap assets (manager) · $425,250 to $446,132Mar 28, 2022 to Mar 28, 2023
- Accounts · 212 to 218Mar 22, 2021 to Mar 28, 2022
- HNW clients · 210 to 216Mar 22, 2021 to Mar 28, 2022
- Discretionary RAUM · $122M to $173MMar 22, 2021 to Mar 28, 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
- Website
- M•••••INP••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-548-2555reportedpublic record, Form ADV, Mar 24, 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
- $51.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026