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•• I••••••••• M••••••••• C••••
Latest filing May 30, 2012
First filing on the tape Mar 13, 2012 · 4 filings
RAUM
$22B
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$3.8B gross assets
History
4 filings and snapshots on the tape
RAUM$22B as of May 30, 2012
Mar 13, 2012$22B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds7 as of May 30, 2012
Mar 13, 20127 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 30, 2012; 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
- $13.9MderivedRAUM 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
- unknownderived22 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $33.0M, 2 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,561reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.0M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- T•••••• S•••••• D••••• to C••••••• P••••••• I••••••••• A•••••••• L••Jun 8, 2012 · Other
- D•••• P••••••••• to C••• P•••••• W••••• A•••••••• I•••May 30, 2012 · Other
- M••• D•••• M•••••••• to C•••• I••••••••• S••••••• C••••Apr 19, 2012 · Other
- M•••••• P••• C•• to J•••••• W••••• I•••Apr 12, 2012 · Other
- S••••• J••••• H••••••••• to A••••••••• I••••••••• S•••••••• I•••Mar 12, 2012 · Other
- A••• K••••• C••••• to C•••• C•••• S••••••••• I•••Feb 17, 2012 · Other
- S••••• C• M•••• to R•••• S••••• A•••••••• L••Nov 23, 2011 · Other
- G•••••• D•••• T•••••••• to A••••••••• F•••••••• S•••••••• L••Sep 29, 2011 · Other
- J•••••• J••••• M•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 19, 2011 · Other
- T••••• J• D••••• to R••••• W• B•••• • C•• I•••••••••Jul 26, 2011 · Other
- D•••• P•••• D••••• to J•••••• W••••• I•••Jul 21, 2011 · Other
- D•••• W•••••• C••••••• to B••• I••••••••• S•••••••• I•••Jul 7, 2011 · Other
- A••• T• Y•••• to L•• F•••••••• L••Jul 7, 2011 · Other
- L••• L••• R••••• to W•••• F•••• A•••••••Jun 20, 2011 · Other
- K••• R• K•••••• to M••••• S••••••May 17, 2011 · Other
Joined, latest
- M•••••• J••• H••••• from P•• W••••• M•••••••••Jan 3, 2012 · Other
- R••• J••• S••••••••• from B• C• Z•••••• A•• C••••••Dec 19, 2011 · Other
- D•••• M•••••• H••• from U•• F•••••••• S••••••• I•••Jun 21, 2011 · Other
- D•••• W•••••• C••••••• from M•• F•••••••• A•••••••• I•••Mar 24, 2011 · Other
- S•••••• E• S••••••• from W•••• F•••• A•••••••Mar 2, 2011 · Other
- N••••••• E••••• H••• from N••••••••• M••••• I••••••••• S•••••••••Feb 18, 2011 · Other
- D•••• M••••• H••• from U••• B•••••• I••••••••• I•••Feb 9, 2011 · Other
- B•••• D••••• M••••• from W•••• F•••• A•••••••Dec 10, 2010 · Other
- J••••••• A•• L••••••• from M••••• S••••••Oct 21, 2010 · Other
- G•••••• D•••• T•••••••• from U•••• F•••••••• S••••••• G••••• I•••Sep 13, 2010 · Other
- R••••• W•••• A•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 30, 2010 · Other
- G••••••• K••• N••••• from G•••••• S•••• W••••• S•••••••• L•••Jul 29, 2010 · Other
- D•••• A• S•••••• from W•••• F•••• I••••••••• L••Jul 15, 2010 · Other
- L••• F•••• B••••• from E••••• J••••Jul 14, 2010 · Other
- T••••• H•••••• T••••••• from P•• W••••• M•••••••••Jul 13, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• E••••• M•••• · Directorcontrolsince 07/2011 · owns less than 5%
- H•••••• A••••• R••••• · Senior Vice President And Chief Financial Officercontrolsince 09/2008 · owns less than 5%
- H•••• T••••• O• · President, Chief Investment Officer And Director (01/2005)controlsince 10/2004 · owns less than 5%
- M••••••••• B••••• S••• · Chief Executive Officer And Directorcontrolsince 07/2011 · owns less than 5%
- N•••• C••••• A•• · Directorcontrolsince 07/2011 · owns less than 5%
- R•••••••• M•••••• G•••• · Senior Vice President And General Counselcontrolsince 01/2009 · owns less than 5%
- D•••••••• J••••• A••• · Secretary And Vice Presidentsince 04/2010 · owns less than 5%
- P•••••• A•••••• M•••• · Chief Compliance Officer & Vice President (01/2007) & Assistant Secretary (2010)since 06/2006 · owns less than 5%
Entity owners
- B•• F•••••••• C•••• · Sole Shareholder Of M•• I••••••••• M••••••••• C••••direct · owns 75% or more · public reporting company
- B••• O• M••••••• · Sole Shareholder Of B•• F•••••••• C••••indirect · owns 75% or more of B•• F•••••••• C••••
Related persons
Schedule D 7.A
- B••• O• M•••••••y
- B•• A•••• M••••••••• I••investment adviserbankpooled vehicle sponsorn
- B•• C•••••• M•••••• C••••broker-dealerinvestment advisernRAUM $1.2B
- B•• C•••••• M•••••• G••• I•••broker-dealern
- B•• H••••• B••• N•••n
- B•• H••••• F•••••••• A•••••••• I••broker-dealerinvestment adviserreal estatenRAUM $5.1B
- Bmo P•••••• Investment Counsel Inc.investment advisernRAUM $40B
- B•• I••••••••• I••pooled vehicle sponsorn
- B•• L••• A•••••••• C••••••real estaten
- B•• L••• I•••••••• C••••••real estaten
- B•• N•••••• B•••• S••••••••• L•••broker-dealern
- B•• N•••••• B•••• T•••••• C•••• S•••broker-dealern
- B•• N•••••• B••••• I•••broker-dealerpooled vehicle sponsorn
- B•• T•••• C••••••n
- Bmo Asset Management Corp.investment adviserbanknRAUM $6.2B
- Bmo Family Office, LLCinvestment adviserpooled vehicle sponsornRAUM $10.0B
- M•••••, Inc.investment advisernRAUM $765M
- L•••• G••••• I••••••••• M••••••••• •••• K•••• L••••••investment advisern
- Lgm Investmentsinvestment adviserpooled vehicle sponsornRAUM $27.0M
- Columbia Threadneedle (Em) Investments L••••••investment adviserpooled vehicle sponsornRAUM $2.9B
- L•••• G••••• M••••••••• ••••••••• P•• L••••••investment advisern
- Lgm Investmentsinvestment adviserpooled vehicle sponsornRAUM $1.0B
- M•• D••••••••• L••broker-dealern
- M•• F•••••••• A•••••••• I•••broker-dealerinvestment adviserreal estatenRAUM $3.8B
- M•• I•••••••• S••••••• I•••real estaten
- M•• I••••••••• P••••••• M••••••••• L••pooled vehicle sponsorn
- M•• R••••• A••••••• I•••investment companyn
- M••••••• • I••••• T•••• C•••••• N•••pooled vehicle sponsorLP sponsorcustodiann
- N•••• S••• T•••• C••••••n
- P•••••• I••••••••• L••investment adviserpooled vehicle sponsornRAUM $7.1B
Advisers that list M•• I••••••••• M••••••••• C•••• as a related person
- 16517 n
Offices
Schedule D 1.F, the 25 largest
- Green Bay, WI
- Appleton, WI
- Atlanta, GA
- Bonita Springs, FL
- Chicago, IL
- Chicago, IL
- Des Peres, MO
- Eden Prairie, MN
- Indianapolis, IN
- Indianapolis, IN
- Kansas City, MO
- Leaw•••, KS
- Los Angeles, CA
- Madison, WI
- Madison, WI
- Minneapolis, MN
- Naples, FL
- Sarasota, FL
- S••••Sdale, AZ
- Wausau, WI
- Wayzata, MN
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M•• I••••••••• M••••••••• C•••• · Private Equityshared crd · organization
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
Across the graphs
M•• I••••••••• M••••••••• C•••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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