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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••••• • S••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 110428SEC 801-24076IAPD
Legal name M•••••• • S•••• T•••• V•••• I••••••••• M••••••••• L••
Latest filing Jun 5, 2018
First filing on the tape Mar 28, 2012 · 16 filings
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$72.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$101M as of Jun 5, 2018
Apr 2, 2012$198M then
HNW client RAUM: $49.7M
State-registered IARs (5.B.3)2 as of Jun 5, 2018
Apr 2, 20120 then
Employees (5.A)6 as of Jun 5, 2018
Jun 27, 20136 then
Private funds: no history
RAUM -4.3% over the last fiscal year-4.5% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jun 5, 2018; every figure names its basis
RAUM per advisor
$50.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.3%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$1.5M, 1 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
  • High-net-worth individuals$49.7M49%
  • Individuals$22.6M22%
  • Charitable organizations$14.6M15%
  • Pension and profit-sharing plans$13.8M14%
Individual clients
57reported
HNW clients
21reported
Pension plan clients
5reported
Charitable clients
3reported
Accounts
97reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $12.6M managedreported
Custody of client assets
$1.5M for 1 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••• E••••• C•••••• · Principal And Chief Compliance Officercontrol
    since 04/1984 · owns 75% or more
  • D••••••••• K••••• J• · Director Of Research
    since 05/2002 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 91 to 97
    Nov 9, 2017 to Jun 5, 2018
  • Charity clients · unset to 3.0
    Nov 9, 2017 to Jun 5, 2018
  • HNW clients · unset to 21.0
    Nov 9, 2017 to Jun 5, 2018
  • Individual clients · unset to 57.0
    Nov 9, 2017 to Jun 5, 2018
  • Pension plan clients · unset to 5.0
    Nov 9, 2017 to Jun 5, 2018
  • Assets in custody · $1.4M to $1.5M
    Nov 9, 2017 to Jun 5, 2018
  • Discretionary RAUM · $105M to $101M
    Nov 9, 2017 to Jun 5, 2018
  • HNW RAUM · unset to 49730450.0
    Nov 9, 2017 to Jun 5, 2018
  • Individual RAUM · unset to 22593716.0
    Nov 9, 2017 to Jun 5, 2018
  • Pension RAUM · unset to 13765273.0
    Nov 9, 2017 to Jun 5, 2018
  • RAUM · $105M to $101M
    Nov 9, 2017 to Jun 5, 2018
  • Wrap assets (manager) · $16.2M to $12.6M
    Nov 9, 2017 to Jun 5, 2018
  • Other offices · unset to 0.0
    Aug 30, 2017 to Nov 9, 2017
  • Wrap assets (manager) · unset to 16160294.0
    Aug 30, 2017 to Nov 9, 2017
  • Wrap assets (sponsor) · unset to 0.0
    Aug 30, 2017 to Nov 9, 2017
  • Advisory employees · 4 to 3
    May 24, 2017 to Aug 30, 2017
  • Employees · 7 to 6
    May 24, 2017 to Aug 30, 2017
  • State-registered IARs · 3 to 2
    May 24, 2017 to Aug 30, 2017
  • Accounts · 93 to 91
    Jun 10, 2016 to May 24, 2017
  • Assets in custody · $1.7M to $1.4M
    Jun 10, 2016 to May 24, 2017
  • Discretionary RAUM · $97.1M to $105M
    Jun 10, 2016 to May 24, 2017
  • RAUM · $97.1M to $105M
    Jun 10, 2016 to May 24, 2017
  • Accounts · 94 to 93
    Jun 3, 2015 to Jun 10, 2016
  • Assets in custody · $165,562 to $1.7M
    Jun 3, 2015 to Jun 10, 2016
  • Discretionary RAUM · $116M to $97.1M
    Jun 3, 2015 to Jun 10, 2016
  • RAUM · $116M to $97.1M
    Jun 3, 2015 to Jun 10, 2016
  • Accounts · 72 to 94
    Jun 12, 2014 to May 20, 2015
  • Advisory employees · 3 to 4
    Jun 12, 2014 to May 20, 2015
  • Assets in custody · $1.7M to $165,562
    Jun 12, 2014 to May 20, 2015
  • Employees · 6 to 7
    Jun 12, 2014 to May 20, 2015
  • State-registered IARs · 2 to 3
    Jun 12, 2014 to May 20, 2015
  • Discretionary RAUM · $106M to $116M
    Jun 12, 2014 to May 20, 2015
  • RAUM · $106M to $116M
    Jun 12, 2014 to May 20, 2015
  • Accounts · 81 to 72
    Feb 24, 2014 to Jun 12, 2014
  • Assets in custody · $1.5M to $1.7M
    Feb 24, 2014 to Jun 12, 2014
  • Discretionary RAUM · $114M to $106M
    Feb 24, 2014 to Jun 12, 2014
  • RAUM · $114M to $106M
    Feb 24, 2014 to Jun 12, 2014
  • Accounts · 88 to 81
    Oct 4, 2012 to Jun 27, 2013
  • Advisory employees · unset to 3.0
    Oct 4, 2012 to Jun 27, 2013
  • Assets in custody · unset to 1500000.0
    Oct 4, 2012 to Jun 27, 2013
Signals
No event on the tape.
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