DFX Intelligence
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SEC-registered adviser
M••• S••••••• F•••••••• P••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 16 filings
SEC status approved since Jul 11, 2000
RAUM
$467M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$415M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$467M as of Mar 30, 2026
Mar 30, 2012$163M then
HNW client RAUM$366M as of Mar 30, 2026
Mar 29, 2018$209M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +9.0% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $605,097derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%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
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$366M78%
- Individuals$49.2M11%
- Pension and profit-sharing plans$46.2M9.9%
- Corporations and businesses$4.8M1.0%
- Charitable organizations$638,0690.1%
- Individual clients
- 135reported
- HNW clients
- 100reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 771reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M•••• A• · Managing Member, Chief Compliance Officercontrolsince 08/1997 · owns 75% or more
- S•••••••• J•••• C•••••••• · Limited Partnersince 01/2016 · owns 10% to 25%
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 · 759 to 771Mar 27, 2025 to Mar 30, 2026
- Corporate clients · 8 to 7Mar 27, 2025 to Mar 30, 2026
- HNW clients · 93 to 100Mar 27, 2025 to Mar 30, 2026
- Individual clients · 126 to 135Mar 27, 2025 to Mar 30, 2026
- Pension plan clients · 9 to 10Mar 27, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $428M to $467MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $331M to $366MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $44.9M to $49.2MMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $46.1M to $46.2MMar 27, 2025 to Mar 30, 2026
- RAUM · $428M to $467MMar 27, 2025 to Mar 30, 2026
- Accounts · 810 to 759Mar 26, 2024 to Mar 27, 2025
- Corporate clients · 5 to 8Mar 26, 2024 to Mar 27, 2025
- HNW clients · 87 to 93Mar 26, 2024 to Mar 27, 2025
- Individual clients · 131 to 126Mar 26, 2024 to Mar 27, 2025
- Pension plan clients · 11 to 9Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $406M to $428MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $304M to $331MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $47.1M to $44.9MMar 26, 2024 to Mar 27, 2025
- Pension RAUM · $50.0M to $46.1MMar 26, 2024 to Mar 27, 2025
- RAUM · $406M to $428MMar 26, 2024 to Mar 27, 2025
- Accounts · 803 to 810Mar 31, 2023 to Mar 26, 2024
- Corporate clients · 6 to 5Mar 31, 2023 to Mar 26, 2024
- HNW clients · 81 to 87Mar 31, 2023 to Mar 26, 2024
- Individual clients · 137 to 131Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $376M to $406MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · $276M to $304MMar 31, 2023 to Mar 26, 2024
- Individual RAUM · $51.5M to $47.1MMar 31, 2023 to Mar 26, 2024
- Pension RAUM · $41.6M to $50.0MMar 31, 2023 to Mar 26, 2024
- RAUM · $376M to $406MMar 31, 2023 to Mar 26, 2024
- Accounts · 810 to 803Apr 1, 2022 to Mar 31, 2023
- Corporate clients · 7 to 6Apr 1, 2022 to Mar 31, 2023
- HNW clients · 94 to 81Apr 1, 2022 to Mar 31, 2023
- Individual clients · 140 to 137Apr 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $411M to $376MApr 1, 2022 to Mar 31, 2023
- HNW RAUM · $306M to $276MApr 1, 2022 to Mar 31, 2023
- Individual RAUM · $48.3M to $51.5MApr 1, 2022 to Mar 31, 2023
- Pension RAUM · $42.9M to $41.6MApr 1, 2022 to Mar 31, 2023
- RAUM · $411M to $376MApr 1, 2022 to Mar 31, 2023
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
- Business email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- k••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- m••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-734-1090reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-734-1095reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••S•••••••.COMreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- 860-734-1090reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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