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.
SEC-registered adviser
M••••• P••••••• I••
Latest filing Apr 1, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since May 15, 1986
RAUM
$121M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
99%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$121M as of Apr 1, 2026
Mar 30, 2012$99.6M then
HNW client RAUM$119M as of Apr 1, 2026
Mar 31, 2018$102M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Apr 1, 2026
Mar 28, 20133 then
Private funds1 as of Apr 1, 2026
Mar 30, 20126 then
RAUM -4.0% over the last fiscal year+3.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M98%
- Pooled investment vehicles$1.6M1.3%
- Individuals$832,1040.7%
- Individual clients
- 1reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 82reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• V••••• V•••••••• L•• | Real Estate Fund | $3.8M | 27 | Mar 30, 2012 |
| M••••• M•••• V••••••• I•• L••no longer reported | Private Equity Fund | $2.0M | 79 | Mar 30, 2012 |
| O•••••• V•••••••• L••no longer reported | Private Equity Fund | $1.1M | 30 | Mar 30, 2012 |
| G••• I••••••••• F••• ••••• L••no longer reported | Private Equity Fund | $112,940 | 27 | Mar 30, 2012 |
| G••• I••••••••• F••• ••••• L••no longer reported | Private Equity Fund | $36,074 | 29 | Mar 30, 2012 |
| M••••• M•••• V•••••••• L••no longer reported | Private Equity Fund | $0 | 70 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S••••• R••••••• J••• · President/Chief Compliance Officercontrolsince 04/1986 · owns 75% or more
- S••••• S••••• A•••••• · Shareholdersince 01/2000 · owns 10% to 25%
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 · 79 to 82Mar 14, 2025 to Apr 1, 2026
- HNW clients · 16 to 15Mar 14, 2025 to Apr 1, 2026
- Individual clients · unset to 1.0Mar 14, 2025 to Apr 1, 2026
- Financial planning clients · 0 to 1-10Mar 14, 2025 to Apr 1, 2026
- Discretionary RAUM · $88.1M to $101MMar 14, 2025 to Apr 1, 2026
- HNW RAUM · $125M to $119MMar 14, 2025 to Apr 1, 2026
- Individual RAUM · unset to 832104.0Mar 14, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $38.3M to $20.8MMar 14, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $1.8M to $1.6MMar 14, 2025 to Apr 1, 2026
- RAUM · $126M to $121MMar 14, 2025 to Apr 1, 2026
- Accounts · 85 to 79Mar 19, 2024 to Mar 14, 2025
- Employees · 3 to 4Mar 19, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 14, 2025
- State-registered IARs · 0 to 1Mar 19, 2024 to Mar 14, 2025
- Discretionary RAUM · $71.1M to $88.1MMar 19, 2024 to Mar 14, 2025
- HNW RAUM · $117M to $125MMar 19, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $47.3M to $38.3MMar 19, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $1.9M to $1.8MMar 19, 2024 to Mar 14, 2025
- RAUM · $118M to $126MMar 19, 2024 to Mar 14, 2025
- Accounts · 75 to 85Mar 31, 2023 to Mar 19, 2024
- HNW clients · 18 to 16Mar 31, 2023 to Mar 19, 2024
- Employees · 4 to 3Mar 31, 2023 to Mar 19, 2024
- State-registered IARs · 1 to 0Mar 31, 2023 to Mar 19, 2024
- Discretionary RAUM · $53.8M to $71.1MMar 31, 2023 to Mar 19, 2024
- HNW RAUM · $109M to $117MMar 31, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $56.8M to $47.3MMar 31, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $1.9M to $1.9MMar 31, 2023 to Mar 19, 2024
- RAUM · $111M to $118MMar 31, 2023 to Mar 19, 2024
- Accounts · 95 to 75Mar 31, 2022 to Mar 31, 2023
- HNW clients · 21 to 18Mar 31, 2022 to Mar 31, 2023
- Employees · 3 to 4Mar 31, 2022 to Mar 31, 2023
- State-registered IARs · 0 to 1Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $113M to $53.8MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $146M to $109MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $36.4M to $56.8MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.1M to $1.9MMar 31, 2022 to Mar 31, 2023
- RAUM · $150M to $111MMar 31, 2022 to Mar 31, 2023
- Accounts · 118 to 95Mar 29, 2021 to Mar 31, 2022
- HNW clients · 15 to 21Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $97.2M to $113MMar 29, 2021 to Mar 31, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M••••• P••••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-399-0457reportedpublic record, Form ADV, Apr 1, 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
- Independent wealth managerderiveda 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••••• P••••••• I•• 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.
Checking your plan…