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
S•••••• M••••••••• C•
Latest filing Nov 18, 2021
First filing on the tape Dec 15, 2011 · 32 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$294,751 gross assets
History
32 filings and snapshots on the tape
RAUM: $10.0M
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Nov 18, 2021
Dec 15, 20110 then
Employees (5.A)2 as of Nov 18, 2021
Dec 19, 20122 then
Private funds2 as of Nov 18, 2021
Dec 15, 20115 then
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Nov 18, 2021; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $294,751, 2 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)
- 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)
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $294,751 for 2 clientsreported
- Compensation
- n/areported
- 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•••••• J••••• M•••••• to C•••••• A•••• M••••••••• L••Jun 2, 2022 · Other
Joined, latest
- C•••••• J••••• M•••••• from M••••••• F••••• W•••••Nov 26, 2014 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• B••••••• P•••••••no longer reported | Real Estate Fund | $616,167 | 25 | Dec 15, 2011 |
| S•• P•••••• C•••••• F•••no longer reported | Private Equity Fund | $97,912 | 14 | Dec 15, 2011 |
Owners and control persons
Schedule A and B, latest filing
- C•••• J••• K•••••• · Member Class B, Coo & Treasurercontrolsince 01/2007 · owns F of M••••••• F••••• W•••••
- M••••••• C••••••• J••••• · Ceo, Member Class Bcontrolsince 06/2003 · owns 25% to 50% of M••••••• F••••• W•••••
- R••••• P••••••• R••• · Member Class Bcontrolsince 01/2008 · owns F of M••••••• F••••• W•••••
- R••••••• J••••• M•••••• · Member Class Bcontrolsince 01/2007 · owns F of M••••••• F••••• W•••••• L••
- M••••••• C••••••• J••••• · Chief Executive Officersince 01/2008 · owns less than 5%
- O••••• A•••••• A••• · Ccosince 01/2020 · owns less than 5%
- R••••••• J••••• M•••••• · Secretary & Treasurersince 05/2017 · owns less than 5%
- H••••••••• R••••• H•••• · Member, Class Bsince 01/2020 · owns F of M••••••• F••••• W•••••
- N••••• A•••• C•••••••• · Member, Class Bsince 01/2020 · owns F of M••••••• F••••• W•••••
- O••••• A•••••• A••• · Member, Class B, Ccosince 01/2020 · owns F of M••••••• F••••• W•••••
- Q••••••• J•••• C•••••• · Member, Class Bsince 01/2020 · owns F of M••••••• F••••• W•••••
- S•••••• J••••• P••• · Member, Class Bsince 01/2020 · owns F of M••••••• F••••• W•••••
- S•••••• P••••••• J•••••• · Member, Class Bsince 01/2020 · owns F of M••••••• F••••• W•••••
Entity owners
- M••••••• F••••• W••••• · Ownerdirect · owns 75% or more
- P• 3• V••••••• L•• · Member Class Aindirect · owns F of M••••••• F••••• W•••••
Related persons
Schedule D 7.A
- M••••••• F••••• W•••••investment adviserpooled vehicle sponsoryRAUM $5.4B
- M••••••• T•••• C••••••• L••n
Advisers that list S•••••• M••••••••• C• as a related person
- 109141 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $343,769 to $294,751Nov 18, 2020 to Nov 18, 2021
- Assets in custody · $872,495 to $343,769Jul 9, 2020 to Nov 18, 2020
- Other offices · 1 to 0Dec 3, 2019 to Jan 21, 2020
- Assets in custody · $1.3M to $872,495Jul 2, 2019 to Dec 3, 2019
- Assets in custody · $1.4M to $1.3MSep 26, 2018 to Nov 29, 2018
- Advisory employees · 1 to 2Jun 5, 2017 to Nov 20, 2017
- Assets in custody · $2.2M to $1.4MJun 5, 2017 to Nov 20, 2017
- Insurance-licensed employees · 1 to 2Jun 5, 2017 to Nov 20, 2017
- State-registered IARs · 1 to 2Jun 5, 2017 to Nov 20, 2017
- Other offices · unset to 1.0Jun 5, 2017 to Nov 20, 2017
- Assets in custody · $2.7M to $2.2MApr 25, 2016 to Nov 10, 2016
- Assets in custody · $3.4M to $2.7MAug 5, 2015 to Dec 2, 2015
- Private funds · 3 to 2Aug 5, 2015 to Dec 2, 2015
- Assets in custody · $8.2M to $3.4MMar 5, 2014 to Nov 26, 2014
- Insurance-licensed employees · 0 to 1Mar 5, 2014 to Nov 26, 2014
- State-registered IARs · 0 to 1Mar 5, 2014 to Nov 26, 2014
- Assets in custody · $9.0M to $8.2MFeb 4, 2013 to Nov 21, 2013
- Private funds · 4 to 3Feb 4, 2013 to Nov 21, 2013
- Accounts · 203.0 to unsetAug 27, 2012 to Dec 19, 2012
- Advisory employees · unset to 1.0Aug 27, 2012 to Dec 19, 2012
- Assets in custody · $10.0M to $9.0MAug 27, 2012 to Dec 19, 2012
- Employees · unset to 2.0Aug 27, 2012 to Dec 19, 2012
- Discretionary RAUM · 9956561.0 to unsetAug 27, 2012 to Dec 19, 2012
- Non-discretionary RAUM · 0.0 to unsetAug 27, 2012 to Dec 19, 2012
- RAUM · 9956561.0 to unsetAug 27, 2012 to Dec 19, 2012
- Private funds · 5 to 4Dec 16, 2011 to Jan 3, 2012
Signals
2 dated events
- C•••••• J••••• M•••••• left S•••••• M••••••••• C• for C•••••• A•••• M••••••••• L•• (registered 2022-06-01)Jun 2, 2022 · Advisor changed firm · fact
- Jocelyn Henkensiefken (Member Class B, Cfo & Cco) no longer on Schedule A of S•••••• M••••••••• C• (listed 2020-11-18, absent 2021-11-18)Nov 18, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S•••••• 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
S•••••• 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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