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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SEC-registered adviser
M••••• V•••• P•••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Jan 19, 2012 · 39 filings
SEC status approved since Dec 1, 1999
RAUM
$418M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
32%
$136M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$209M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$418M as of Mar 11, 2026
Jun 20, 2012$1.2B then
HNW client RAUM$136M as of Mar 11, 2026
Mar 15, 2018$171M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Jun 20, 20120 then
Employees (5.A)5 as of Mar 11, 2026
Jun 21, 201312 then
Private funds1 as of Mar 23, 2020
Jun 21, 20131 then
RAUM +15% over the last fiscal year-38% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $209MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.7MderivedHNW RAUM over HNW clients
- Average account
- $19.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- 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
- Investment companies$252M60%
- High-net-worth individuals$136M32%
- Other investment advisers$20.6M4.9%
- Pooled investment vehicles$7.4M1.8%
- Corporations and businesses$2.0M0.5%
- Individual clients
- 0reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.32 fund_share=0.67 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• G••••• L••••Chartered Financial Analyst | Towson, Md | Aug 15, 2017 | 16 y | 2 |
| W•••••• H•••••• M•••••Chartered Financial Analyst | Sarasota, Fl | May 13, 2026 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• 1• L•no longer reported | Hedge Fund | $465M | 13 | May 23, 2016 |
| L•• I••••• O••••••••• F•••• L••no longer reported | Other Private Fund | $37.2M | 11 | Jan 19, 2012 |
| M•• B• L•no longer reported | Hedge Fund | $23.1M | 8 | Mar 15, 2018 |
| S•••••• V•••• P••••••• 1• L•no longer reported | Hedge Fund | $13.5M | 2 | Mar 16, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• C••••••••• B•••••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- F••••••• J•••••• T••••• · Chief Operating Officercontrolsince 05/2023 · owns less than 5%
- M•••••• W••••••• H•••••• · Chairman, Cio & Portfolio Managercontrolsince 05/2023 · owns less than 5%
- M•••••• W••••••• H•••••• · Trusteecontrolsince 07/2014 · owns F of W•••••• H• M••••• I• R•••••••• T•••• U•• J••• 2•• 2•••
- M•••••• W••••••• H•••••• · Trusteecontrolsince 04/2017 · owns F of W•••••• H• M••••• I•• L••••• T•••• D•••• A•••• 1•• 2•••
Entity owners
- W•••••• H• M••••• I•• L••••• T•••• D•••• A•••• 1•• 2••• · Memberdirect · owns 10% to 25%
- W•••••• H• M••••• I• R•••••••• T•••• U•• J••• 2•• 2••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list M••••• V•••• P•••••••• L•• as a related person
- 269945 n
Offices
Schedule D 1.F, the 25 largest
- Towson, MD2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 11, 2026 to Sep 15, 2026
- Succession · false to unsetMar 11, 2026 to Sep 15, 2026
- Accounts · 20 to 21Jul 15, 2025 to Mar 11, 2026
- Employees · 6 to 5Jul 15, 2025 to Mar 11, 2026
- Discretionary RAUM · $350M to $403MJul 15, 2025 to Mar 11, 2026
- HNW RAUM · $96.9M to $136MJul 15, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $12.4M to $14.8MJul 15, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $8.0M to $7.4MJul 15, 2025 to Mar 11, 2026
- RAUM · $362M to $418MJul 15, 2025 to Mar 11, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jul 15, 2025
- Accounts · 14 to 20May 8, 2024 to Mar 24, 2025
- HNW clients · 8 to 14May 8, 2024 to Mar 24, 2025
- Pooled vehicle clients · 2 to 1May 8, 2024 to Mar 24, 2025
- Discretionary RAUM · $227M to $350MMay 8, 2024 to Mar 24, 2025
- HNW RAUM · $60.5M to $96.9MMay 8, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $10.3M to $12.4MMay 8, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $18.4M to $8.0MMay 8, 2024 to Mar 24, 2025
- RAUM · $238M to $362MMay 8, 2024 to Mar 24, 2025
- Employees · 9 to 6Jan 10, 2024 to Mar 22, 2024
- Other offices · 1 to 2Jan 10, 2024 to Mar 22, 2024
- Discretionary RAUM · $197M to $227MJan 10, 2024 to Mar 22, 2024
- HNW RAUM · $44.7M to $60.5MJan 10, 2024 to Mar 22, 2024
- Individual RAUM · unset to 0.0Jan 10, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $6.7M to $10.3MJan 10, 2024 to Mar 22, 2024
- Pension RAUM · unset to 0.0Jan 10, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $15.5M to $18.4MJan 10, 2024 to Mar 22, 2024
- RAUM · $204M to $238MJan 10, 2024 to Mar 22, 2024
- Wrap assets (manager) · 6672876.0 to unsetJan 10, 2024 to Mar 22, 2024
- Wrap assets (sponsor) · 0.0 to unsetJan 10, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $9.1M to $6.7MMar 30, 2023 to Jun 13, 2023
- Pooled vehicle RAUM · $14.7M to $15.5MMar 30, 2023 to Jun 13, 2023
- RAUM · $1.7B to $204MMar 30, 2023 to Jun 13, 2023
- Related adviser · true to falseMar 30, 2023 to Jun 13, 2023
- Wrap assets (manager) · $46.2M to $6.7MMar 30, 2023 to Jun 13, 2023
- Accounts · 21 to 14Mar 30, 2023 to Jun 13, 2023
- Advisory employees · 13 to 3Mar 30, 2023 to Jun 13, 2023
- Charity clients · 1 to 0Mar 30, 2023 to Jun 13, 2023
- HNW clients · 9 to 8Mar 30, 2023 to Jun 13, 2023
- Pooled vehicle clients · 3 to 2Mar 30, 2023 to Jun 13, 2023
- Employees · 20 to 9Mar 30, 2023 to Jun 13, 2023
Signals
12 dated events
- M••••• V•••• P•••••••• L•• reported RAUM $362.1M, up 52% from $237.7M (2024-05-08 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- M••••• V•••• P•••••••• L•• reported RAUM $203.5M, down 88% from $1.7B (2023-03-30 to 2023-06-13)Jun 13, 2023 · RAUM change · derived
- Marie Samantha Mclemore (Portfolio Manager) no longer on Schedule A of M••••• V•••• P•••••••• L•• (listed 2023-03-30, absent 2023-06-13)Jun 13, 2023 · Control person left · inference
- James Wilson (Head Of Operations) no longer on Schedule A of M••••• V•••• P•••••••• L•• (listed 2023-03-30, absent 2023-06-13)Jun 13, 2023 · Control person left · inference
- M••••• V•••• P•••••••• L•• reported RAUM $1.7B, down 47% from $3.2B (2023-01-03 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- T••••• J••••• F•••••• (Managing Director Of Operations) appeared on Schedule A of M••••• V•••• P•••••••• L••Mar 30, 2023 · Control person joined · fact
- Ellen Stacy Landsman (Chief Compliance Officer) no longer on Schedule A of M••••• V•••• P•••••••• L•• (listed 2022-03-30, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- B•••••• C••••••••• A••••••• (Chief Compliance Officer) appeared on Schedule A of M••••• V•••• P•••••••• L••Jan 3, 2023 · Control person joined · fact
- James Wilson (Head Of Operations) appeared on Schedule A of M••••• V•••• P•••••••• L••Mar 22, 2021 · Control person joined · fact
- Ellen Stacy Landsman (Chief Compliance Officer) appeared on Schedule A of M••••• V•••• P•••••••• L••Mar 22, 2021 · Control person joined · fact
- Peter Neil Ocallaghan (President And Chief Compliance Officer) no longer on Schedule A of M••••• V•••• P•••••••• L•• (listed 2020-06-30, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- M••••• V•••• P•••••••• L•• reported RAUM $3.0B, up 30% from $2.3B (2019-03-19 to 2020-03-23)Mar 23, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 410-454-3130reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M•••••V••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- M•••••V••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 410-454-3130reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $209Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026