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••• W••••• M••••••••• L••
Legal name M• • R• W••••• M••••••••• L••
Latest filing Mar 5, 2024
First filing on the tape Mar 30, 2012 · 32 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.8B as of Mar 5, 2024
Mar 30, 2012$350M then
HNW client RAUM$1.6B as of Mar 5, 2024
Mar 6, 2018$826M then
State-registered IARs (5.B.3)15 as of Mar 5, 2024
Mar 23, 20139 then
Employees (5.A)24 as of Mar 5, 2024
Mar 23, 201310 then
Private funds: no history
RAUM +16% over the last fiscal year+10% a year over threeIARs 16 to 15
Practice profile
derived from the filing of Mar 5, 2024; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $753,631derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $605M, 352 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B88%
- Individuals$110M6.1%
- Charitable organizations$104M5.8%
- Corporations and businesses$623,8440.0%
- Individual clients
- 286reported
- HNW clients
- 390reported
- Pension plan clients
- 0reported
- Charitable clients
- 8reported
- Accounts
- 2,375reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $605M for 352 clientsreported
- Compensation
- % of AUM, 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••••• J••• R••••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- V•••••• L••• M•••••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- J•••• E•••••••• R•••••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- S•••• F•••••••• A•••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- B•••• A•••••• C•••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- K••• L•••• S•••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- S••••• L•• H••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- S••••• V••• S•••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- S•••••• N•••••• Q•••••• C••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- S•••• C•••••••• W••••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- N•••••• L••••••• Y•••• to C••••••• P•••••••May 29, 2024 · RIA to RIA
- M••••••• C•••••••• M•••• to B••• F••• W•••••Mar 5, 2024 · RIA to a newly registered adviser
- C•••• R•••• S•••• to B••••••••• W••••• M•••••••••Mar 5, 2024 · RIA to RIA
- A••••• F•••••• F••• to M••••• W••••• A•••••••Mar 5, 2024 · RIA to RIA
- T••••• C••••• C••••• to R••••••••• P••• F••••••••• L••Feb 1, 2012 · Other
Joined, latest
- N•••••• L••••••• Y•••• from P•••••• W••••• M••••••••• G••••Feb 2, 2023 · RIA to RIA
- B•••• A•••••• C•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Apr 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••••••• C•••••••• M•••• from A••••• A••••Jun 10, 2021 · RIA to RIA
- K••• L•••• S•••• from C••••••• P•••••• W••••• M•••••••••Mar 10, 2020 · RIA to RIA
- C•••• R•••• S•••• from D••••••••• F••• A••••••• L•May 30, 2018 · Other
- T••••• C••••• C••••• from I•••••••• A••••••• I••Jan 20, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for C••••••• P•••••••May 29, 2024 · A•••••, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S•••••• L•• · Treasurercontrolsince 09/2016 · owns less than 5%
- K•••••• S•••••• W•••• · Presidentcontrolsince 06/2000 · owns less than 5%
- S••••• S•••••• V••• · Secretarycontrolsince 09/2016 · owns less than 5%
- W•••••• S••••• C•••••••• · Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- K•••••• S•••••• W•••• · Partner/Presidentcontrolsince 01/1999 · owns 25% to 50% of M•••••• L•••• • R••••• L••
Entity owners
- M•••••• L•••• • R••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• L•••• • R••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| A•••••, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Round Rock, TX7 employees
What changed
consecutive filings, newest first
- Accounts · 2,213 to 2,375Aug 29, 2023 to Mar 5, 2024
- Advisory employees · 9 to 8Aug 29, 2023 to Mar 5, 2024
- Corporate clients · 6 to 7Aug 29, 2023 to Mar 5, 2024
- HNW clients · 374 to 390Aug 29, 2023 to Mar 5, 2024
- Individual clients · 289 to 286Aug 29, 2023 to Mar 5, 2024
- Assets in custody · $560M to $605MAug 29, 2023 to Mar 5, 2024
- Employees · 25 to 24Aug 29, 2023 to Mar 5, 2024
- Financial planning clients · 1-10 to 0Aug 29, 2023 to Mar 5, 2024
- State-registered IARs · 16 to 15Aug 29, 2023 to Mar 5, 2024
- Discretionary RAUM · $1.5B to $1.8BAug 29, 2023 to Mar 5, 2024
- HNW RAUM · $1.3B to $1.6BAug 29, 2023 to Mar 5, 2024
- Individual RAUM · $97.1M to $110MAug 29, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $9.9M to $4.8MAug 29, 2023 to Mar 5, 2024
- RAUM · $1.5B to $1.8BAug 29, 2023 to Mar 5, 2024
- Accounts · 1,789 to 2,213Mar 14, 2022 to Mar 7, 2023
- Advisory employees · 7 to 9Mar 14, 2022 to Mar 7, 2023
- Corporate clients · 7 to 6Mar 14, 2022 to Mar 7, 2023
- HNW clients · 326 to 374Mar 14, 2022 to Mar 7, 2023
- Individual clients · 270 to 289Mar 14, 2022 to Mar 7, 2023
- Assets in custody · $477M to $560MMar 14, 2022 to Mar 7, 2023
- Employees · 19 to 25Mar 14, 2022 to Mar 7, 2023
- Financial planning clients · unset to 1-10Mar 14, 2022 to Mar 7, 2023
- State-registered IARs · 15 to 16Mar 14, 2022 to Mar 7, 2023
- Discretionary RAUM · $1.5B to $1.5BMar 14, 2022 to Mar 7, 2023
- HNW RAUM · $1.3B to $1.3BMar 14, 2022 to Mar 7, 2023
- Individual RAUM · $90.6M to $97.1MMar 14, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $9.2M to $9.9MMar 14, 2022 to Mar 7, 2023
- RAUM · $1.5B to $1.5BMar 14, 2022 to Mar 7, 2023
- Accounts · 1,969 to 1,789Oct 26, 2021 to Mar 11, 2022
- Advisory employees · 6 to 7Oct 26, 2021 to Mar 11, 2022
- Charity clients · 12 to 8Oct 26, 2021 to Mar 11, 2022
- Corporate clients · 0 to 7Oct 26, 2021 to Mar 11, 2022
- HNW clients · 280 to 326Oct 26, 2021 to Mar 11, 2022
- Individual clients · 255 to 270Oct 26, 2021 to Mar 11, 2022
- Assets in custody · $493M to $477MOct 26, 2021 to Mar 11, 2022
- Employees · 16 to 19Oct 26, 2021 to Mar 11, 2022
- State-registered IARs · 13 to 15Oct 26, 2021 to Mar 11, 2022
- Discretionary RAUM · $1.3B to $1.5BOct 26, 2021 to Mar 11, 2022
- HNW RAUM · $1.2B to $1.3BOct 26, 2021 to Mar 11, 2022
- Individual RAUM · $87.6M to $90.6MOct 26, 2021 to Mar 11, 2022
Signals
16 dated events
- M••• W••••• M••••••••• L••'s advisors moved to C••••••• P••••••• (Austin, TX): 11 of 11 registered, on the same dayMay 29, 2024 · Firm absorbed (people side) · derived
- K••• L•••• S•••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- S••••• V••• S•••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- S••••• L•• H••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- J•••• E•••••••• R•••••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-01)May 29, 2024 · Advisor changed firm · fact
- S•••• F•••••••• A•••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-01)May 29, 2024 · Advisor changed firm · fact
- S•••• C•••••••• W••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- V•••••• L••• M•••••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- B•••• A•••••• C•••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- P••••• J••• R••••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- S•••••• N•••••• Q•••••• C••••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-10)May 29, 2024 · Advisor changed firm · fact
- N•••••• L••••••• Y•••• left M••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2024-04-02)May 29, 2024 · Advisor changed firm · fact
- C•••• R•••• S•••• left M••• W••••• M••••••••• L•• for B••••••••• W••••• M••••••••• (registered 2024-03-01)Mar 5, 2024 · Advisor changed firm · fact
- A••••• F•••••• F••• left M••• W••••• M••••••••• L•• for M••••• W••••• A••••••• (registered 2024-03-22)Mar 5, 2024 · Advisor changed firm · fact
- M••••••• C•••••••• M•••• left M••• W••••• M••••••••• L•• for B••• F••• W••••• (registered 2024-05-03)Mar 5, 2024 · Advisor changed firm · fact
- Joshua Elessar Clifford no longer registered at M••• W••••• M••••••••• L••; no later IA registration on IAPDApr 26, 2023 · Advisor departure · fact
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