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 May 11, 2023
First filing on the tape Nov 10, 2011 · 19 filings
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$110M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$127M as of May 11, 2023
May 17, 2012$208M then
HNW client RAUM$76.6M as of May 11, 2023
Jun 25, 2018$132M then
State-registered IARs (5.B.3)1 as of May 11, 2023
May 17, 20120 then
Employees (5.A)3 as of May 11, 2023
Jun 21, 20132 then
Private funds: no history
RAUM -32% over the last fiscal year-13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 11, 2023; every figure names its basis
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 129derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $905,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -34%derived
- 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
- $23.3M, 20 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.6M60%
- Individuals$33.5M26%
- Pension and profit-sharing plans$6.5M5.1%
- Charitable organizations$5.8M4.5%
- Corporations and businesses$4.4M3.5%
- Individual clients
- 104reported
- HNW clients
- 25reported
- Pension plan clients
- 4reported
- Charitable clients
- 5reported
- Accounts
- 140reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $2.3M managedreported
- Custody of client assets
- $23.3M for 20 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
- J•••• C•••••••• K••• to M••••• A•••••••• L••Jun 11, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• C•••••••• K••• from C••••••••• W•••••Mar 28, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D•••••• C•••• · Chief Compliance Officercontrolsince 04/1981 · owns less than 5%
- M••••••••• D•••••• C•••• · President/Chief Compliance Officercontrolsince 04/1981 · owns 75% or more of M•••••••• A••••••••• I•••
Entity owners
- M•••••••• A••••••••• I••• · Holding Co.direct · owns 75% or more
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 · 208 to 140Sep 16, 2022 to May 11, 2023
- Advisory employees · 2 to 1Sep 16, 2022 to May 11, 2023
- HNW clients · 36 to 25Sep 16, 2022 to May 11, 2023
- Individual clients · 159 to 104Sep 16, 2022 to May 11, 2023
- Pension plan clients · 6 to 4Sep 16, 2022 to May 11, 2023
- Assets in custody · $42.7M to $23.3MSep 16, 2022 to May 11, 2023
- Employees · 5 to 3Sep 16, 2022 to May 11, 2023
- Discretionary RAUM · $185M to $127MSep 16, 2022 to May 11, 2023
- HNW RAUM · $109M to $76.6MSep 16, 2022 to May 11, 2023
- Individual RAUM · $51.4M to $33.5MSep 16, 2022 to May 11, 2023
- Pension RAUM · $13.7M to $6.5MSep 16, 2022 to May 11, 2023
- RAUM · $185M to $127MSep 16, 2022 to May 11, 2023
- Wrap assets (manager) · $2.5M to $2.3MSep 16, 2022 to May 11, 2023
- Accounts · 389 to 208Jun 22, 2021 to Jun 24, 2022
- Charity clients · 4 to 5Jun 22, 2021 to Jun 24, 2022
- Corporate clients · 4 to 2Jun 22, 2021 to Jun 24, 2022
- HNW clients · 39 to 36Jun 22, 2021 to Jun 24, 2022
- Individual clients · 332 to 159Jun 22, 2021 to Jun 24, 2022
- Pension plan clients · 10 to 6Jun 22, 2021 to Jun 24, 2022
- Assets in custody · $68.1M to $42.7MJun 22, 2021 to Jun 24, 2022
- Employees · 6 to 5Jun 22, 2021 to Jun 24, 2022
- Discretionary RAUM · $227M to $185MJun 22, 2021 to Jun 24, 2022
- HNW RAUM · $114M to $109MJun 22, 2021 to Jun 24, 2022
- Individual RAUM · $87.5M to $51.4MJun 22, 2021 to Jun 24, 2022
- Pension RAUM · $15.8M to $13.7MJun 22, 2021 to Jun 24, 2022
- RAUM · $227M to $185MJun 22, 2021 to Jun 24, 2022
- Wrap assets (manager) · $2.4M to $2.5MJun 22, 2021 to Jun 24, 2022
- Accounts · 370 to 389Jun 24, 2020 to Jun 22, 2021
- Advisory employees · 3 to 2Jun 24, 2020 to Jun 22, 2021
- BD registered reps · 1 to 0Jun 24, 2020 to Jun 22, 2021
- Corporate clients · 3 to 4Jun 24, 2020 to Jun 22, 2021
- HNW clients · 46 to 39Jun 24, 2020 to Jun 22, 2021
- Individual clients · 307 to 332Jun 24, 2020 to Jun 22, 2021
- Assets in custody · $44.0M to $68.1MJun 24, 2020 to Jun 22, 2021
- Employees · 7 to 6Jun 24, 2020 to Jun 22, 2021
- State-registered IARs · 0 to 1Jun 24, 2020 to Jun 22, 2021
- Discretionary RAUM · $193M to $227MJun 24, 2020 to Jun 22, 2021
- HNW RAUM · $116M to $114MJun 24, 2020 to Jun 22, 2021
- Individual RAUM · $58.3M to $87.5MJun 24, 2020 to Jun 22, 2021
- Pension RAUM · $11.3M to $15.8MJun 24, 2020 to Jun 22, 2021
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