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••• C•••••• M••••••••• L••
Latest filing May 1, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Jun 22, 1995
RAUM
$392M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$343M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$392M as of May 1, 2026
Mar 30, 2012$133M then
HNW client RAUM$343M as of May 1, 2026
Mar 29, 2018$182M then
State-registered IARs (5.B.3)0 as of May 1, 2026
Apr 3, 20130 then
Employees (5.A)6 as of May 1, 2026
Apr 3, 20136 then
Private funds1 as of May 1, 2026
Mar 30, 20122 then
RAUM +41% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 1, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $961,931derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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$343M88%
- Pooled investment vehicles$35.5M9.1%
- Charitable organizations$13.3M3.4%
- Individual clients
- 0reported
- HNW clients
- 159reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 407reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.09 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• V•••• F••• I• •• | Hedge Fund | $17.4M | 19 | Mar 30, 2012 |
| M••• V•••• F••• I• ••no longer reported | Hedge Fund | $1.6M | 8 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••• W••••••• D•••• · Chief Manager, Chief Compliance Officercontrolsince 06/1995 · owns 50% to 75%
- B•••••• A••• H• · Membersince 06/1995 · owns 5% to 10%
- D••••• T••••• W• · Membersince 06/1995 · owns 10% to 25%
- H•••••• J••••• A••••• · Membersince 06/1995 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2025RAUM (Item 5.F) moved from $278,382,171 to $395,173,915 (+42.0%) between the annual amendments of 2024-03-28 and 2025-03-31; the peer median change was +15.0% (4549 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 423 to 407Mar 31, 2025 to May 1, 2026
- HNW clients · 144 to 159Mar 31, 2025 to May 1, 2026
- Pension plan clients · 6 to 1Mar 31, 2025 to May 1, 2026
- Assets in custody · 9147659.0 to unsetMar 31, 2025 to May 1, 2026
- Discretionary RAUM · $395M to $392MMar 31, 2025 to May 1, 2026
- HNW RAUM · $314M to $343MMar 31, 2025 to May 1, 2026
- Pension RAUM · 37003982.0 to unsetMar 31, 2025 to May 1, 2026
- Pooled vehicle RAUM · $33.9M to $35.5MMar 31, 2025 to May 1, 2026
- RAUM · $395M to $392MMar 31, 2025 to May 1, 2026
- Accounts · 380 to 423Mar 28, 2024 to Mar 31, 2025
- HNW clients · 161 to 144Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 6Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $8.1M to $9.1MMar 28, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 28, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 1-10Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $278M to $395MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $217M to $314MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $26.2M to $37.0MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $25.0M to $33.9MMar 28, 2024 to Mar 31, 2025
- RAUM · $278M to $395MMar 28, 2024 to Mar 31, 2025
- Accounts · 204 to 380Apr 20, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Apr 20, 2023 to Mar 28, 2024
- Advisory activities · 3 to 4Apr 20, 2023 to Mar 28, 2024
- HNW clients · 198 to 161Apr 20, 2023 to Mar 28, 2024
- Assets in custody · $7.2M to $8.1MApr 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $314M to $278MApr 20, 2023 to Mar 28, 2024
- HNW RAUM · $265M to $217MApr 20, 2023 to Mar 28, 2024
- Pension RAUM · $20.4M to $26.2MApr 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $19.9M to $25.0MApr 20, 2023 to Mar 28, 2024
- RAUM · $314M to $278MApr 20, 2023 to Mar 28, 2024
- Accounts · 177 to 204Aug 6, 2021 to Apr 20, 2023
- HNW clients · 173 to 198Aug 6, 2021 to Apr 20, 2023
- Pooled vehicle clients · 0 to 1Aug 6, 2021 to Apr 20, 2023
- Discretionary RAUM · $216M to $314MAug 6, 2021 to Apr 20, 2023
- HNW RAUM · $193M to $265MAug 6, 2021 to Apr 20, 2023
- Pension RAUM · $16.4M to $20.4MAug 6, 2021 to Apr 20, 2023
- Pooled vehicle RAUM · $0 to $19.9MAug 6, 2021 to Apr 20, 2023
- RAUM · $216M to $314MAug 6, 2021 to Apr 20, 2023
- Pension plan clients · 3 to 5Jun 26, 2020 to Aug 6, 2021
- Assets in custody · $10.1M to $7.2MJun 26, 2020 to Aug 6, 2021
Signals
1 dated events
- M••• C•••••• M••••••••• L•• reported RAUM $395.2M, up 42% from $278.4M (2024-03-28 to 2025-03-31)Mar 31, 2025 · 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.
How to reach
public business contact points only, each with its source
- Website
- M•••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 865-546-1234reportedpublic record, Form ADV, May 1, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026