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•• A••••••• F•••••••• M••••••••• I•••
Latest filing Jul 30, 2021
First filing on the tape Mar 29, 2012 · 37 filings
RAUM
$3.4B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
67%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
96
96 advisory (5.B.1)
Offices
56
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$3.4B as of Mar 31, 2021
Mar 29, 2012$821M then
HNW client RAUM$1.1B as of Mar 31, 2021
Mar 29, 2018$685M then
State-registered IARs (5.B.3)96 as of Mar 31, 2021
Mar 28, 201385 then
Employees (5.A)96 as of Mar 31, 2021
Mar 28, 201390 then
Private funds1 as of Mar 31, 2020
Mar 29, 20122 then
RAUM +12% over the last fiscal year+12% a year over threeIARs 99 to 96
Practice profile
derived from the filing of Jul 30, 2021; every figure names its basis
- RAUM per advisor
- $35.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $349,468derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived57 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B34%
- Individuals$1.1B33%
- Pension and profit-sharing plans$918M27%
- Charitable organizations$85.8M2.5%
- Insurance companies$72.3M2.1%
- Corporations and businesses$36.0M1.1%
- Individual clients
- 3,974reported
- HNW clients
- 541reported
- Pension plan clients
- 462reported
- Charitable clients
- 40reported
- Accounts
- 9,652reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $110M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- M•••••• T••••• B••••• to G•••••• F•••••••• W••••• M••••••••• L•Nov 1, 2021 · Other
- K••• P•••• S•••• to N•• E••• W•••••Nov 1, 2021 · Other
- D•••• J••• D••• to N•• E••• W•••••Nov 1, 2021 · Other
- K••• D•••• W•••••• to A•••• W••••• M•••••••••Jun 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••• A• D•••••• to A••••• F•••••••• A•••••••• L••Apr 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- M••• A••••• P••••••• to P••••••• W••••• M••••••••• L••Oct 8, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• R••••• P•••••• to F••••• F••••••••Aug 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- H••• W•••••• R••••• to F•••• T•••• S••••••••• I•••Aug 24, 2020 · Affiliated broker-dealer or bank to another
- A•••• E••••• S•••••••• to L•• F•••••••• L••Aug 11, 2020 · Affiliated broker-dealer or bank to another
- W•••••• L•••• G••••• to F•• I••••••••• C••••••Jun 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• S•••• P••••• to F•• I••••••••• C••••••Jun 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• D•••• T••••••• to F•• I••••••••• C••••••Jun 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• R•• P••••• to F•• I••••••••• C••••••Jun 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••• V••••• C••••••• to F•• I••••••••• C••••••Jun 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• L•••• R••••• to F•• I••••••••• C••••••Jun 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Joined, latest
- M••••••• T••••• B••••••••• from W••••••••• F•••••••• A••••••• C•••Jun 14, 2021 · RIA to affiliated broker-dealer or bank
- D••••• K•••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 6, 2021 · Wirehouse to affiliated broker-dealer or bank
- R•••••• M•• H••• from C••••••• S••••••••• I•••Apr 20, 2021 · Affiliated broker-dealer or bank to another
- J••••• M•••••••• P••••••• from I•• P•••••• W•••••• I•••Aug 18, 2020 · Other
- K•••• M••••••• S•••••• from F•• C•••••• M•••••••••Jun 24, 2020 · Other
- T••••• C•••••• S••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 7, 2020 · Affiliated broker-dealer or bank to another
- K••• R••••• B••• from M••••• S••••••Feb 7, 2020 · Wirehouse to affiliated broker-dealer or bank
- D•••• S••••• L•••••• from H••••••••• F•••••••• A•••••••Oct 23, 2019 · Affiliated broker-dealer or bank to another
- T•••• L••• S••••• from N••••• S••••••••• L••Sep 25, 2019 · RIA to affiliated broker-dealer or bank
- J••••• T•••••• N••• from N••••• S••••••••• L••Sep 25, 2019 · RIA to affiliated broker-dealer or bank
- S•••••• A••••• C••••••••• from N••••• S••••••••• L••Sep 25, 2019 · RIA to affiliated broker-dealer or bank
- A•••• E••••• S•••••••• from C••••• I••••••••• A••••••• L••Aug 6, 2019 · Affiliated broker-dealer or bank to another
- T•••••• T••••• D••• from M•• S••••••••• I•••Jul 26, 2019 · Other
- M••••••• D••• S•••••• from U••••• C•••••• F•••••••• A•••••••Apr 9, 2019 · RIA to affiliated broker-dealer or bank
- H••• W•••••• R••••• from E• H••••• I••••••••• L••Feb 20, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•• E••• W•••••Nov 1, 2021 · Pittsburgh, Pa
- 6 left for F•• I••••••••• C••••••Jun 1, 2020 · Pittsburgh, Pa
- 2 left for L•• F•••••••• L••Dec 16, 2019 · Pittsburgh, Pa
- 2 left for C••• L••Oct 18, 2019 · Wexford, Pa
- 2 left for A••••••••• F•••••••• S•••••••• L••Sep 25, 2017 · Akron, Oh
- 2 left for N•••••••• P••••••• A••••••••• I•••Jul 31, 2017 · Bangor, Me
- 2 left for P•••••••• F•••••••• A•••••••Jul 31, 2017 · Pittsburgh, Pa
- 3 joined from N••••• S••••••••• L••Oct 1, 2020 · Hampton, Nh · Firm absorbed
- 2 joined from U•• F•••••••• S••••••• I•••Nov 8, 2018 · Erie, Pa
- 3 joined from A••••••••• F•••••••• S•••••••• L••Oct 16, 2017 · Sarasota, Fl
- 2 joined from C••••••••• F•••••••• N••••••Jul 13, 2015 · Wexford, Pa
- 2 joined from C••••••• A•••• M••••••••• L••May 22, 2015 · Worthington, Oh
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• A••••••• S••••••••• P•••••••••no longer reported | Other Private Fund | $5.2M | 22 | Mar 29, 2012 |
| S••••• O••••••••• F••• •• L••••••••• | Other Private Fund | $90,177 | 22 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• F••••••• · Secty/Treasuercontrolsince 02/1997 · owns less than 5%
- D•••• T••••••• T••••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- D•••• D••••• J••• · Presidentcontrolsince 03/1997 · owns less than 5%
- F•••• S••••• F• · Vice Presidentcontrolsince 05/2004 · owns less than 5%
- S••••• K•••• P•••• · Senior Vice Presidentcontrolsince 01/2005 · owns less than 5%
Entity owners
- N•••••• C•••••• G••••• L•• · Mafm Is Wholly Owned By E••••• Wealth Management, LLCdirect · owns 75% or more
- E••••• G••••••••• L• · Shareholderindirect · owns 75% or more of N•• E••• W••••• H•••••••• L•••
- E••••• H•••••••• L• · Shareholderindirect · owns 75% or more of E••••• G••••••••• L•
- E••••• I••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of E••••• H•••••••• L•
- E••••• W••••• M••••••••• G•• L•• · Gpindirect · owns F of N•• E••• W••••• H•••••••• L•••
- E••••• W••••• M••••••••• G•• L•• · Gpindirect · owns F of E••••• G••••••••• L•
- N•• E••• W••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of N•••••• C•••••• G••••• L••
- P•••••••• I•••••••• V• L••• · Shareholderindirect · owns 50% to 75% of E••••• I••••••• H••••••• L•••
- P•• A••••••••• G•• L•• · Gpindirect · owns F of E••••• I••••••• H••••••• L•••
- W•••••••• E••• M••••• F•••• L••• · Shareholderindirect · owns 25% to 50% of E••••• I••••••• H••••••• L•••
Related persons
Schedule D 7.A
- N•••••• A••••••Sinvestment advisernRAUM $43B
- L•• I•••••••• A•••••• I•••real estaten
- M•• A••••••• C•••••• C•••••••••broker-dealern
- M•• A••••••• C••••••• • S••••••••• C•••••••••broker-dealern
- M•• A••••••• T•••• C••••••custodiann
- N•• E••• W•••••investment advisernRAUM $20B
Offices
Schedule D 1.F, the 25 largest
- Exeter, NH4 employees
- Mcmurray, PA4 employees
- Canonsburg, PA3 employees
- Sarasota, FL3 employees
- , 3 employees
- New Castle, PA2 employees
- Pittsburgh, PA2 employees
- Dallas, TX2 employees
- Jupiter, FL2 employees
- Canonsburg, PA2 employees
- Dover, OH2 employees
- Erie, PA2 employees
- Northfield, IL2 employees
- , 1 employees
- Ontario, CA1 employees
- , 1 employees
- Irwin, PA1 employees
- Lititz, PA1 employees
- Excelsior, MN1 employees
- Beachwood, OH1 employees
- Westlake, OH1 employees
- Albuquerque, NM1 employees
- Los Angleles, CA1 employees
- Rocky River, OH1 employees
- Novato, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 8,483 to 9,652Feb 12, 2021 to Mar 31, 2021
- Advisory employees · 99 to 96Feb 12, 2021 to Mar 31, 2021
- BD registered reps · 70 to 66Feb 12, 2021 to Mar 31, 2021
- Charity clients · 37 to 40Feb 12, 2021 to Mar 31, 2021
- HNW clients · 512 to 541Feb 12, 2021 to Mar 31, 2021
- Individual clients · 3,630 to 3,974Feb 12, 2021 to Mar 31, 2021
- Pension plan clients · 342 to 462Feb 12, 2021 to Mar 31, 2021
- Pooled vehicle clients · 1 to 0Feb 12, 2021 to Mar 31, 2021
- Employees · 99 to 96Feb 12, 2021 to Mar 31, 2021
- Insurance-licensed employees · 2 to 4Feb 12, 2021 to Mar 31, 2021
- State-registered IARs · 99 to 96Feb 12, 2021 to Mar 31, 2021
- Private funds · 1 to unsetFeb 12, 2021 to Mar 31, 2021
- Discretionary RAUM · $2.4B to $2.8BFeb 12, 2021 to Mar 31, 2021
- HNW RAUM · $976M to $1.1BFeb 12, 2021 to Mar 31, 2021
- Individual RAUM · $928M to $1.1BFeb 12, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $550M to $534MFeb 12, 2021 to Mar 31, 2021
- Pension RAUM · $891M to $918MFeb 12, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $90,177 to $0Feb 12, 2021 to Mar 31, 2021
- RAUM · $3.0B to $3.4BFeb 12, 2021 to Mar 31, 2021
- Wrap assets (sponsor) · $139M to $110MFeb 12, 2021 to Mar 31, 2021
- Accounts · 8,912 to 8,483Mar 19, 2020 to Mar 31, 2020
- Advisory employees · 101 to 99Mar 19, 2020 to Mar 31, 2020
- BD registered reps · 73 to 70Mar 19, 2020 to Mar 31, 2020
- Charity clients · 39 to 37Mar 19, 2020 to Mar 31, 2020
- Corporate clients · 16 to 21Mar 19, 2020 to Mar 31, 2020
- HNW clients · 461 to 512Mar 19, 2020 to Mar 31, 2020
- Individual clients · 3,942 to 3,630Mar 19, 2020 to Mar 31, 2020
- Pension plan clients · 272 to 342Mar 19, 2020 to Mar 31, 2020
- Employees · 101 to 99Mar 19, 2020 to Mar 31, 2020
- Financial planning clients · 251-500 to 101-250Mar 19, 2020 to Mar 31, 2020
- State-registered IARs · 101 to 99Mar 19, 2020 to Mar 31, 2020
- Other offices · 42 to 56Mar 19, 2020 to Mar 31, 2020
- Discretionary RAUM · $2.0B to $2.4BMar 19, 2020 to Mar 31, 2020
- HNW RAUM · $771M to $976MMar 19, 2020 to Mar 31, 2020
- Individual RAUM · $810M to $928MMar 19, 2020 to Mar 31, 2020
- Non-discretionary RAUM · $451M to $550MMar 19, 2020 to Mar 31, 2020
- Pension RAUM · $684M to $891MMar 19, 2020 to Mar 31, 2020
- Pooled vehicle RAUM · $114,458 to $90,177Mar 19, 2020 to Mar 31, 2020
- RAUM · $2.4B to $3.0BMar 19, 2020 to Mar 31, 2020
- Wrap assets (sponsor) · $322M to $139MMar 19, 2020 to Mar 31, 2020
Signals
5 dated events
- M•• A••••••• F•••••••• M••••••••• I••• reported 56 offices beyond its principal office, up from 42 (2020-03-19 to 2020-03-31)Mar 31, 2020 · Office count change · derived
- Lee Timothy Brown (Chief Compliance Officer/Executive Vice President) no longer on Schedule A of M•• A••••••• F•••••••• M••••••••• I••• (listed 2019-03-29, absent 2019-08-15)Aug 15, 2019 · Control person left · inference
- T••••• Tenzing Deck (Chief Compliance Officer) appeared on Schedule A of M•• A••••••• F•••••••• M••••••••• I•••Aug 15, 2019 · Control person joined · fact
- Colditz Jeanine Devine (Vice President) no longer on Schedule A of M•• A••••••• F•••••••• M••••••••• I••• (listed 2018-06-25, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
- M•• A••••••• F•••••••• M••••••••• I••• reported RAUM $2.4B, up 29% from $1.9B (2017-08-07 to 2018-03-29)Mar 29, 2018 · 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.
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