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
B••••••••• M••• M•••••
Legal name T••• L••
Latest filing Mar 18, 2025
First filing on the tape Mar 20, 2012 · 21 filings
SEC status approved since Sep 14, 1998
RAUM
$1.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
85%
$891M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.1B as of Mar 18, 2025
Mar 20, 2012$268M then
HNW client RAUM$708M as of Mar 18, 2025
Mar 27, 2018$347M then
State-registered IARs (5.B.3)10 as of Mar 18, 2025
Mar 20, 20130 then
Employees (5.A)10 as of Mar 18, 2025
Mar 20, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+5.6% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 18, 2025; every figure names its basis
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $604,268derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%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
- 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)
- 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$708M67%
- Individuals$183M17%
- State and municipal entities$58.9M5.6%
- Charitable organizations$57.7M5.5%
- Pension and profit-sharing plans$32.3M3.1%
- Corporations and businesses$10.1M1.0%
- Individual clients
- 368reported
- HNW clients
- 262reported
- Pension plan clients
- 9reported
- Charitable clients
- 25reported
- Accounts
- 1,738reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- C•••• H••• M••••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- T•••• S•••••• L••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- N•••• N••• H••• D••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- B•••• R•••••• M••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- S•••••• M•••••• K••••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- J••••• A••••• E•••••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- D••••• D•••••• P••••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- R••• L••••••• M••••• to E• W••••• A•••••••Jun 27, 2025 · RIA to RIA
- M••••••• M• G••••••• to H• W•••••Mar 7, 2025 · RIA to RIA
Joined, latest
- M••••••• M• G••••••• from M•••••Aug 4, 2017 · Other
- S•••••• M•••••• K••••• from C•••••• S••••• • C••• I•••Feb 12, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for E• W••••• A•••••••Jun 27, 2025 · Boise, Id · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••• H••• · General Partnercontrolsince 04/1998 · owns 50% to 75%
- M•••• B••••• R•••••• · General Partner/Chief Compliance Officercontrolsince 04/1998 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Boise, Id · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,594 to 1,738Mar 19, 2024 to Mar 18, 2025
- Charity clients · 22 to 25Mar 19, 2024 to Mar 18, 2025
- Corporate clients · 3.0 to unsetMar 19, 2024 to Mar 18, 2025
- HNW clients · 224 to 262Mar 19, 2024 to Mar 18, 2025
- Individual clients · 357 to 368Mar 19, 2024 to Mar 18, 2025
- Pooled vehicle clients · 0.0 to unsetMar 19, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 251-500Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $893M to $1.0BMar 19, 2024 to Mar 18, 2025
- HNW RAUM · $599M to $708MMar 19, 2024 to Mar 18, 2025
- Individual RAUM · $163M to $183MMar 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $18.3M to $19.7MMar 19, 2024 to Mar 18, 2025
- Pension RAUM · $28.0M to $32.3MMar 19, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 19, 2024 to Mar 18, 2025
- RAUM · $912M to $1.1BMar 19, 2024 to Mar 18, 2025
- Accounts · 1,504 to 1,594Apr 3, 2023 to Mar 19, 2024
- Charity clients · 24 to 22Apr 3, 2023 to Mar 19, 2024
- Corporate clients · unset to 3.0Apr 3, 2023 to Mar 19, 2024
- HNW clients · 212 to 224Apr 3, 2023 to Mar 19, 2024
- Individual clients · 373 to 357Apr 3, 2023 to Mar 19, 2024
- Pension plan clients · 7 to 9Apr 3, 2023 to Mar 19, 2024
- Discretionary RAUM · $767M to $893MApr 3, 2023 to Mar 19, 2024
- HNW RAUM · $516M to $599MApr 3, 2023 to Mar 19, 2024
- Individual RAUM · $138M to $163MApr 3, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $15.2M to $18.3MApr 3, 2023 to Mar 19, 2024
- Pension RAUM · $23.9M to $28.0MApr 3, 2023 to Mar 19, 2024
- RAUM · $783M to $912MApr 3, 2023 to Mar 19, 2024
- Accounts · 1,466 to 1,504Mar 28, 2022 to Mar 28, 2023
- Charity clients · 23 to 24Mar 28, 2022 to Mar 28, 2023
- HNW clients · 210 to 212Mar 28, 2022 to Mar 28, 2023
- Individual clients · 411 to 373Mar 28, 2022 to Mar 28, 2023
- Pension plan clients · 9 to 7Mar 28, 2022 to Mar 28, 2023
- Financial planning clients · 11-25 to 101-250Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $867M to $767MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · $601M to $516MMar 28, 2022 to Mar 28, 2023
- Individual RAUM · $163M to $138MMar 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $24.2M to $15.2MMar 28, 2022 to Mar 28, 2023
- Pension RAUM · $38.1M to $23.9MMar 28, 2022 to Mar 28, 2023
- RAUM · $891M to $783MMar 28, 2022 to Mar 28, 2023
- Accounts · 1,304 to 1,466Mar 30, 2021 to Mar 28, 2022
- Charity clients · 18 to 23Mar 30, 2021 to Mar 28, 2022
Signals
11 dated events
- B••••••••• M••• M••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $1.1B)Jul 1, 2025 · Left the SEC roster · derived
- B•••• R•••••• M••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- N•••• N••• H••• D••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- R••• L••••••• M••••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- S•••••• M•••••• K••••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- T•••• S•••••• L••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- J••••• A••••• E•••••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- D••••• D•••••• P••••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- C•••• H••• M••••• left B••••••••• M••• M••••• for E• W••••• A••••••• (registered 2025-06-11)Jun 27, 2025 · Advisor changed firm · fact
- B••••••••• M••• M•••••'s advisors moved to E• W••••• A••••••• (Boise, ID): 8 of 8 registered, on the same dayJun 27, 2025 · Firm absorbed (people side) · derived
- M••••••• M• G••••••• left B••••••••• M••• M••••• for H• W••••• (registered 2025-04-14)Mar 7, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- B••••••••• M••• M••••• · Family Officesshared cik · office
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