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• I••••••••• M••••••••• I••
Latest filing Mar 20, 2026
First filing on the tape Mar 28, 2012 · 16 filings
SEC status approved since Oct 5, 1998
RAUM
$63.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$63.4M as of Mar 20, 2026
Mar 28, 2012$18.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Mar 20, 2026
Mar 23, 20132 then
Private funds: no history
RAUM +6.8% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $63.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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
- Investment companies$63.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
- H•••••••• J•••• M••• · Vice Presidentcontrolsince 10/1997 · owns 50% to 75%
- M•••••• H•••••• N••• · President/Chief Compliance Officercontrolsince 10/1997 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list M• I••••••••• M••••••••• I•• as a related person
- 129290 y
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $59.3M to $63.4MMar 25, 2025 to Mar 20, 2026
- RAUM · $59.3M to $63.4MMar 25, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 25, 2025
- HQ city · unset to Mar 27, 2024 to Mar 25, 2025
- HQ state · unset to Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $55.0M to $59.3MMar 27, 2024 to Mar 25, 2025
- RAUM · $55.0M to $59.3MMar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $46.0M to $55.0MMar 28, 2023 to Mar 27, 2024
- RAUM · $46.0M to $55.0MMar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $47.6M to $46.0MMar 29, 2022 to Mar 28, 2023
- RAUM · $47.6M to $46.0MMar 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $41.0M to $47.6MMar 24, 2021 to Mar 29, 2022
- RAUM · $41.0M to $47.6MMar 24, 2021 to Mar 29, 2022
- Related adviser · true to falseMar 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $34.7M to $41.0MMar 23, 2020 to Mar 24, 2021
- RAUM · $34.7M to $41.0MMar 23, 2020 to Mar 24, 2021
- Discretionary RAUM · $28.6M to $34.7MMar 18, 2019 to Mar 23, 2020
- RAUM · $28.6M to $34.7MMar 18, 2019 to Mar 23, 2020
- Advisory employees · 2 to 3Mar 24, 2018 to Mar 18, 2019
- Discretionary RAUM · $31.3M to $28.6MMar 24, 2018 to Mar 18, 2019
- RAUM · $31.3M to $28.6MMar 24, 2018 to Mar 18, 2019
- Employees · 2 to 3Mar 19, 2017 to Mar 24, 2018
- Other offices · unset to 1.0Mar 19, 2017 to Mar 24, 2018
- Discretionary RAUM · $28.3M to $31.3MMar 19, 2017 to Mar 24, 2018
- RAUM · $28.3M to $31.3MMar 19, 2017 to Mar 24, 2018
- Discretionary RAUM · $25.2M to $28.3MMar 25, 2016 to Mar 19, 2017
- RAUM · $25.2M to $28.3MMar 25, 2016 to Mar 19, 2017
- Discretionary RAUM · $26.1M to $25.2MMar 20, 2015 to Mar 25, 2016
- RAUM · $26.1M to $25.2MMar 20, 2015 to Mar 25, 2016
- Discretionary RAUM · $25.0M to $26.1MMar 20, 2014 to Mar 20, 2015
- RAUM · $25.0M to $26.1MMar 20, 2014 to Mar 20, 2015
- Discretionary RAUM · $20.2M to $25.0MMar 23, 2013 to Mar 20, 2014
- RAUM · $20.2M to $25.0MMar 23, 2013 to Mar 20, 2014
- Advisory employees · unset to 2.0Mar 29, 2012 to Mar 23, 2013
- Employees · unset to 2.0Mar 29, 2012 to Mar 23, 2013
- Discretionary RAUM · $18.7M to $20.2MMar 29, 2012 to Mar 23, 2013
- RAUM · $18.7M to $20.2MMar 29, 2012 to Mar 23, 2013
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
- Principal office phone
- 908-444-8654reportedpublic record, Form ADV, Mar 20, 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
- Asset manager (funds and pooled vehicles)deriveda 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