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•••••• A•••••••
Legal name M••••••••• A•••• M••••••••• I•••
Latest filing May 1, 2023
First filing on the tape Dec 20, 2011 · 45 filings
RAUM
$871M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$758M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$847M as of Mar 20, 2023
Mar 8, 2012$674M then
HNW client RAUM$723M as of Mar 20, 2023
Mar 29, 2018$390M then
State-registered IARs (5.B.3)5 as of Mar 20, 2023
Mar 8, 20120 then
Employees (5.A)13 as of Mar 20, 2023
Mar 27, 201315 then
Private funds: no history
RAUM -25% over the last fiscal year+7.1% a year over threeIARs 6 to 5offices 2 to 1
Practice profile
derived from the filing of May 1, 2023; every figure names its basis
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $40.5M, 31 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$723M85%
- Charitable organizations$49.6M5.9%
- Corporations and businesses$39.6M4.7%
- Individuals$34.1M4.0%
- Pension and profit-sharing plans$200,1770.0%
- Individual clients
- 124reported
- HNW clients
- 133reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 516reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $45.8M managedreported
- Custody of client assets
- $40.5M for 31 clientsreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- P•••••• A•••• S•••• to S•••••• F•••••••• G••••• L•••••Dec 31, 2023 · RIA to RIA
- E•••• R•• B••••• to S•••••• F•••••••• G••••• L•••••Dec 31, 2023 · RIA to RIA
- C••••• K••••• K••••• to S•••••• F•••••••• G••••• L•••••Dec 7, 2023 · RIA to RIA
- J•••••• D••••••• D•••••• to 1••• W•••••Jan 13, 2023 · RIA to RIA
- D••••• A• K••••• to C••••• W••••• M••••••••• I•••Aug 13, 2021 · RIA to RIA
- C••••• W••••• T••••• to A••••• W••••• M••••••••• L••Jan 19, 2016 · Other
- W•••••• R•••• W•••••• to C••••••• P•••••••Jul 25, 2012 · Other
Joined, latest
- C••••• W••••• T••••• from H• B• S••••••• A•• C••••••• L••Jun 23, 2014 · Other
- P•••••• A•••• S•••• from R••••• W• B•••• • C•• I•••••••••Apr 16, 2013 · Other
- D••••• A• K••••• from J••••• H•••••••• W••• L••••• L••Apr 16, 2013 · Other
- C••••• K••••• K••••• from M••••••••• A•••• M•••••••••Dec 19, 2011 · Other
- W•••••• R•••• W•••••• from W•••••• • A••••••••• I••Mar 17, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•••••• F•••••••• G••••• L•••••Dec 31, 2023 · Nashville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E••••• R•• · Chief Portfolio Strategistcontrolsince 11/2022 · owns less than 5%
- M••••••••• F••••• N•• · Chairmancontrolsince 10/2011 · owns 75% or more
- M••••••••• M••••• M•••••• · Chief Executive Officer & Chief Operations Officercontrolsince 10/2011 · owns 5% to 10%
- S••••• P••••••• A•••• · Chief Investment Officercontrolsince 11/2022 · owns less than 5%
- V••••••••• C•••••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- F••••••• M•••• M••••••••• · N/Asince 12/2020 · owns 5% to 10%
- W••••••••• C•••• M••••••••• · N/Asince 12/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 0 | 0 | 0 | ||
| San Antonio, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Antonio, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 514 to 516Mar 20, 2023 to Mar 28, 2023
- Individual clients · 123 to 124Mar 20, 2023 to Mar 28, 2023
- Individual RAUM · $34.0M to $34.1MMar 20, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $0 to $23.6MMar 20, 2023 to Mar 28, 2023
- RAUM · $847M to $871MMar 20, 2023 to Mar 28, 2023
- Accounts · 490 to 514Nov 10, 2022 to Mar 20, 2023
- Charity clients · 8 to 9Nov 10, 2022 to Mar 20, 2023
- HNW clients · 130 to 133Nov 10, 2022 to Mar 20, 2023
- Individual clients · 108 to 123Nov 10, 2022 to Mar 20, 2023
- Pension plan clients · 2 to 3Nov 10, 2022 to Mar 20, 2023
- Pooled vehicle clients · unset to 0.0Nov 10, 2022 to Mar 20, 2023
- Assets in custody · $50.7M to $40.5MNov 10, 2022 to Mar 20, 2023
- Financial planning clients · 11-25 to 1-10Nov 10, 2022 to Mar 20, 2023
- State-registered IARs · 6 to 5Nov 10, 2022 to Mar 20, 2023
- Other offices · 2 to 1Nov 10, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.1B to $847MNov 10, 2022 to Mar 20, 2023
- HNW RAUM · $920M to $723MNov 10, 2022 to Mar 20, 2023
- Individual RAUM · $43.4M to $34.0MNov 10, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $36.7M to $0Nov 10, 2022 to Mar 20, 2023
- Pension RAUM · $65.8M to $200,177Nov 10, 2022 to Mar 20, 2023
- RAUM · $1.2B to $847MNov 10, 2022 to Mar 20, 2023
- Wrap assets (manager) · $66.3M to $45.8MNov 10, 2022 to Mar 20, 2023
- Accounts · 563 to 490Jan 10, 2022 to Mar 17, 2022
- Advisory employees · 5 to 7Jan 10, 2022 to Mar 17, 2022
- HNW clients · 150 to 130Jan 10, 2022 to Mar 17, 2022
- Individual clients · 114 to 108Jan 10, 2022 to Mar 17, 2022
- Pension plan clients · unset to 2.0Jan 10, 2022 to Mar 17, 2022
- Assets in custody · $32.6M to $50.7MJan 10, 2022 to Mar 17, 2022
- Employees · 12 to 13Jan 10, 2022 to Mar 17, 2022
- Financial planning clients · 51-100 to 11-25Jan 10, 2022 to Mar 17, 2022
- State-registered IARs · 5 to 6Jan 10, 2022 to Mar 17, 2022
- Discretionary RAUM · $899M to $1.1BJan 10, 2022 to Mar 17, 2022
- HNW RAUM · $741M to $920MJan 10, 2022 to Mar 17, 2022
- Individual RAUM · $38.9M to $43.4MJan 10, 2022 to Mar 17, 2022
- Non-discretionary RAUM · $24.8M to $36.7MJan 10, 2022 to Mar 17, 2022
- Pension RAUM · $47.5M to $65.8MJan 10, 2022 to Mar 17, 2022
- RAUM · $924M to $1.2BJan 10, 2022 to Mar 17, 2022
- Wrap assets (manager) · $52.8M to $66.3MJan 10, 2022 to Mar 17, 2022
- Accounts · 562 to 563Dec 22, 2020 to Mar 4, 2021
- Charity clients · 12 to 8Dec 22, 2020 to Mar 4, 2021
Signals
16 dated events
- E•••• R•• B••••• left M• C•••••• A••••••• for S•••••• F•••••••• G••••• L••••• (registered 2023-08-18)Dec 31, 2023 · Advisor changed firm · fact
- P•••••• A•••• S•••• left M• C•••••• A••••••• for S•••••• F•••••••• G••••• L••••• (registered 2023-08-18)Dec 31, 2023 · Advisor changed firm · fact
- 2 advisors left M• C•••••• A••••••• (Nashville, TN) for S•••••• F•••••••• G••••• L••••• on the same dayDec 31, 2023 · Team lift-out · derived
- C••••• K••••• K••••• left M• C•••••• A••••••• for S•••••• F•••••••• G••••• L••••• (registered 2023-08-18)Dec 7, 2023 · Advisor changed firm · fact
- M• C•••••• A••••••• reported RAUM $847.0M, down 27% from $1.2B (2022-11-10 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- J•••••• D••••••• D•••••• left M• C•••••• A••••••• for 1••• W••••• (registered 2023-02-14)Jan 13, 2023 · Advisor changed firm · fact
- Ray Edwin Barton (Chief Portfolio Strategist) appeared on Schedule A of M• C•••••• A•••••••Nov 10, 2022 · Control person joined · fact
- Allen Patrick Snell (Chief Investment Officer) appeared on Schedule A of M• C•••••• A•••••••Nov 10, 2022 · Control person joined · fact
- M• C•••••• A••••••• reported RAUM $1.2B, up 25% from $923.7M (2022-01-10 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- C•••••••• V••••••••• (Chief Compliance Officer) appeared on Schedule A of M• C•••••• A•••••••Jan 10, 2022 · Control person joined · fact
- L••• J••••••• S••••••• (Cco) no longer on Schedule A of M• C•••••• A••••••• (listed 2021-11-18, absent 2022-01-10)Jan 10, 2022 · Control person left · inference
- M• C•••••• A••••••• reported RAUM $923.7M, up 31% from $707.7M (2020-12-22 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- Paul Robert Lavigne (Chief Compliance Officer) no longer on Schedule A of M• C•••••• A••••••• (listed 2020-10-14, absent 2020-12-21)Dec 21, 2020 · Control person left · inference
- L••• J••••••• S••••••• (Cco) appeared on Schedule A of M• C•••••• A•••••••Dec 21, 2020 · Control person joined · fact
- Paul Robert Lavigne (Chief Compliance Officer) appeared on Schedule A of M• C•••••• A•••••••May 18, 2020 · Control person joined · fact
- M• C•••••• A••••••• reported RAUM $707.7M, up 26% from $563.0M (2019-08-07 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
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