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•• C•••••• M••••••••• I••
Latest filing Feb 23, 2024
First filing on the tape Mar 16, 2012 · 43 filings
RAUM
$522M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
87%
$452M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$522M as of Feb 7, 2024
Mar 16, 2012$418M then
HNW client RAUM$394M as of Feb 7, 2024
Mar 28, 2018$286M then
State-registered IARs (5.B.3)5 as of Feb 7, 2024
Mar 28, 20135 then
Employees (5.A)7 as of Feb 7, 2024
Mar 28, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year-0.5% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Feb 23, 2024; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$394M75%
- Charitable organizations$68.7M13%
- Individuals$58.0M11%
- Pension and profit-sharing plans$1.4M0.3%
- Individual clients
- 177reported
- HNW clients
- 324reported
- Pension plan clients
- 2reported
- Charitable clients
- 10reported
- Accounts
- 513reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $12.1M managedreported
- 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
- J••• E••••• M•••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 21, 2024 · RIA to affiliated broker-dealer or bank
- P••• D•••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 21, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• C••••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 21, 2024 · RIA to affiliated broker-dealer or bank
- A••• W••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 21, 2024 · RIA to affiliated broker-dealer or bank
- M••••••• S•••••• B•••••••• to R•• W••••• B•••••••• I•••Feb 21, 2024 · RIA to RIA
- G••••• V••••••••• M•••••• to S••••• I••••••••• L••Jan 21, 2021 · RIA to RIA
Joined, latest
- A••• W••••• from D••••• • B•••• I••••••••• A••••••• L••Dec 2, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for W••••• E••••••••• A••••••• S•••••••• L••Nov 21, 2024 · Summit, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J•••• E••••• · Chairman/Ceocontrolsince 05/1997 · owns 75% or more
- C•••••••• M••••••• J••• · Chief Operations Officer/Chief Compliance Officersince 05/2019 · owns less than 5%
- D••••••• P•••• M•••••• · Executive Vice Presidentsince 09/2019 · owns less than 5%
- W•••••• A•••• B••••• · Executive Vice Presidentsince 12/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Summit, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Feb 7, 2024 to Feb 23, 2024
- Employees · 7 to 6Feb 7, 2024 to Feb 23, 2024
- State-registered IARs · 5 to 4Feb 7, 2024 to Feb 23, 2024
- Accounts · 450 to 513Aug 15, 2023 to Feb 7, 2024
- Charity clients · 8 to 10Aug 15, 2023 to Feb 7, 2024
- HNW clients · 288 to 324Aug 15, 2023 to Feb 7, 2024
- Individual clients · 152 to 177Aug 15, 2023 to Feb 7, 2024
- Employees · 6 to 7Aug 15, 2023 to Feb 7, 2024
- Discretionary RAUM · $428M to $492MAug 15, 2023 to Feb 7, 2024
- HNW RAUM · $341M to $394MAug 15, 2023 to Feb 7, 2024
- Individual RAUM · $49.9M to $58.0MAug 15, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $26.1M to $30.4MAug 15, 2023 to Feb 7, 2024
- Pension RAUM · $1.3M to $1.4MAug 15, 2023 to Feb 7, 2024
- RAUM · $454M to $522MAug 15, 2023 to Feb 7, 2024
- Wrap assets (manager) · $14.2M to $12.1MAug 15, 2023 to Feb 7, 2024
- Accounts · 399 to 450Jan 3, 2023 to Jan 27, 2023
- Advisory employees · 4 to 5Jan 3, 2023 to Jan 27, 2023
- Charity clients · 5 to 8Jan 3, 2023 to Jan 27, 2023
- HNW clients · 255 to 288Jan 3, 2023 to Jan 27, 2023
- Individual clients · 136 to 152Jan 3, 2023 to Jan 27, 2023
- Pension plan clients · 3 to 2Jan 3, 2023 to Jan 27, 2023
- Employees · 5 to 6Jan 3, 2023 to Jan 27, 2023
- Financial planning clients · 0 to 1-10Jan 3, 2023 to Jan 27, 2023
- State-registered IARs · 4 to 5Jan 3, 2023 to Jan 27, 2023
- Discretionary RAUM · $507M to $428MJan 3, 2023 to Jan 27, 2023
- HNW RAUM · $422M to $341MJan 3, 2023 to Jan 27, 2023
- Individual RAUM · $43.4M to $49.9MJan 3, 2023 to Jan 27, 2023
- Non-discretionary RAUM · $22.9M to $26.1MJan 3, 2023 to Jan 27, 2023
- Pension RAUM · $3.3M to $1.3MJan 3, 2023 to Jan 27, 2023
- RAUM · $530M to $454MJan 3, 2023 to Jan 27, 2023
- Wrap assets (manager) · $18.1M to $14.2MJan 3, 2023 to Jan 27, 2023
- Wrap assets (manager) · $22.9M to $18.1MJan 28, 2022 to Mar 10, 2022
- Accounts · 436 to 399Jan 6, 2022 to Jan 28, 2022
- Advisory activities · 1 to 3Jan 6, 2022 to Jan 28, 2022
- Charity clients · 4 to 5Jan 6, 2022 to Jan 28, 2022
- HNW clients · 261 to 255Jan 6, 2022 to Jan 28, 2022
- Individual clients · 152 to 136Jan 6, 2022 to Jan 28, 2022
- Pension plan clients · 4 to 3Jan 6, 2022 to Jan 28, 2022
- Financial planning clients · unset to 0Jan 6, 2022 to Jan 28, 2022
- Discretionary RAUM · $523M to $507MJan 6, 2022 to Jan 28, 2022
Signals
8 dated events
- A••• W••••• left M•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-12)Nov 21, 2024 · Advisor changed firm · fact
- J••• E••••• M•••••• left M•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-07)Nov 21, 2024 · Advisor changed firm · fact
- P••• D•••••• left M•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-07)Nov 21, 2024 · Advisor changed firm · fact
- M•••••• C••••••• left M•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-12)Nov 21, 2024 · Advisor changed firm · fact
- M•• C•••••• M••••••••• I••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Summit, NJ): 4 of 4 registered, on the same dayNov 21, 2024 · Firm absorbed (people side) · derived
- M••••••• S•••••• B•••••••• left M•• C•••••• M••••••••• I•• for R•• W••••• B•••••••• I••• (registered 2024-02-27)Feb 21, 2024 · Advisor changed firm · fact
- M•• C•••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 28, 2021 · Succession (Item 4) · fact
- Thomas Richard Diver (Senior Vice President/Coo) no longer on Schedule A of M•• C•••••• M••••••••• I•• (listed 2018-03-28, absent 2019-01-14)Jan 14, 2019 · Control person left · inference
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