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• J• S•••• A•• A•••••••••
Latest filing Jul 30, 2020
First filing on the tape Feb 29, 2012 · 13 filings
RAUM
$886M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
98%
$872M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$886M as of Mar 18, 2020
Mar 28, 2012$542M then
HNW client RAUM$578M as of Mar 18, 2020
Mar 28, 2018$603M then
State-registered IARs (5.B.3)6 as of Mar 18, 2020
Mar 28, 20120 then
Employees (5.A)7 as of Mar 18, 2020
Mar 26, 201314 then
Private funds: no history
RAUM +34% over the last fiscal year+8.7% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 30, 2020; every figure names its basis
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $496,708derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$578M65%
- Individuals$294M33%
- Corporations and businesses$10.7M1.2%
- Pension and profit-sharing plans$1.7M0.2%
- Charitable organizations$1.3M0.1%
- Individual clients
- 263reported
- HNW clients
- 222reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 1,784reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- A•••• J• K••• to M••••• G••••• A••••••• I•••Mar 29, 2021 · RIA to RIA
- B••••••• E•••• R••• to M••••• G••••• A••••••• I•••Mar 29, 2021 · RIA to RIA
- J•••• M••••• J••••• to M••••• G••••• A••••••• I•••Mar 29, 2021 · RIA to RIA
- A••••• T••••• B••••• to M••••• G••••• A••••••• I•••Mar 29, 2021 · RIA to RIA
- D••• H••••• to M••••• G••••• A••••••• I•••Mar 29, 2021 · RIA to RIA
- M••••••• L••• E•••••• to H•••••••• A•••••••• L••May 29, 2018 · RIA to affiliated broker-dealer or bank
- J•••••• R•••• W•••• to I•••••••• W••••• S•••••••• L••Jul 29, 2016 · Other
- C•••• P••• T••••• to I•••••••• W••••• S•••••••• L••Jul 29, 2016 · Other
- M•••••• T••••• O••••• to S••••• W••••• A•••••••• I•••Nov 22, 2013 · Other
- J•••• D••••• O•••••• to B•••• A•••• M•••••••••Sep 17, 2012 · Other
- C•••• P••• T••••• to E••••• J••••Aug 29, 2012 · Other
- B•••• D•••••• E••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 28, 2011 · Other
- D••••• E•••• C•••••• to C••••• • C••••••• L••Oct 21, 2004 · Other
Joined, latest
- J•••• M••••• J••••• from P••••••• C•••••• A••••••• C•••••••••Aug 30, 2018 · RIA to RIA
- J•••••• R•••• W•••• from F••••• I•••••••••Dec 14, 2012 · Other
- C•••• P••• T••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 14, 2012 · Other
- M•••••• T••••• O••••• from F•••• C•••••• F•••••••• P•••••••• I•••Dec 14, 2012 · Other
- J•••• D••••• O•••••• from P•••••• W••• F•••••••• C••••••••• I••Mar 3, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for M••••• G••••• A••••••• I•••Mar 29, 2021 · Greenwood Village, Co · Firm absorbed
- 2 left for I•••••••• W••••• S•••••••• L••Jul 29, 2016 · Greenwood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• T•••••• J••••• · Chief Compliance Officersince 11/2011 · owns less than 5%
- S••••• M•••• J••••• · Principalsince 10/1983 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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 · 1,545 to 1,784Mar 28, 2019 to Mar 18, 2020
- Advisory employees · 7 to 6Mar 28, 2019 to Mar 18, 2020
- BD registered reps · 8 to 7Mar 28, 2019 to Mar 18, 2020
- Charity clients · 0 to 1Mar 28, 2019 to Mar 18, 2020
- Corporate clients · 0 to 3Mar 28, 2019 to Mar 18, 2020
- HNW clients · 278 to 222Mar 28, 2019 to Mar 18, 2020
- Individual clients · 194 to 263Mar 28, 2019 to Mar 18, 2020
- Pension plan clients · 13 to 5Mar 28, 2019 to Mar 18, 2020
- Employees · 8 to 7Mar 28, 2019 to Mar 18, 2020
- Discretionary RAUM · $649M to $806MMar 28, 2019 to Mar 18, 2020
- HNW RAUM · $106M to $578MMar 28, 2019 to Mar 18, 2020
- Individual RAUM · $543M to $294MMar 28, 2019 to Mar 18, 2020
- Non-discretionary RAUM · $12.5M to $80.1MMar 28, 2019 to Mar 18, 2020
- Pension RAUM · $12.0M to $1.7MMar 28, 2019 to Mar 18, 2020
- RAUM · $662M to $886MMar 28, 2019 to Mar 18, 2020
- Accounts · 1,797 to 1,545Mar 28, 2018 to Mar 28, 2019
- Advisory employees · 5 to 7Mar 28, 2018 to Mar 28, 2019
- BD registered reps · 7 to 8Mar 28, 2018 to Mar 28, 2019
- HNW clients · 204 to 278Mar 28, 2018 to Mar 28, 2019
- Individual clients · 285 to 194Mar 28, 2018 to Mar 28, 2019
- Pension plan clients · 4 to 13Mar 28, 2018 to Mar 28, 2019
- Employees · 7 to 8Mar 28, 2018 to Mar 28, 2019
- State-registered IARs · 5 to 6Mar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $725M to $649MMar 28, 2018 to Mar 28, 2019
- HNW RAUM · $603M to $106MMar 28, 2018 to Mar 28, 2019
- Individual RAUM · $119M to $543MMar 28, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $0 to $12.5MMar 28, 2018 to Mar 28, 2019
- Pension RAUM · $2.0M to $12.0MMar 28, 2018 to Mar 28, 2019
- RAUM · $725M to $662MMar 28, 2018 to Mar 28, 2019
- Accounts · 1,424 to 1,797Feb 10, 2017 to Mar 28, 2018
- Advisory employees · 4 to 5Feb 10, 2017 to Mar 28, 2018
- BD registered reps · 8 to 7Feb 10, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Feb 10, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0Feb 10, 2017 to Mar 28, 2018
- HNW clients · unset to 204.0Feb 10, 2017 to Mar 28, 2018
- Individual clients · unset to 285.0Feb 10, 2017 to Mar 28, 2018
- Pension plan clients · unset to 4.0Feb 10, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 0.0Feb 10, 2017 to Mar 28, 2018
- Employees · 13 to 7Feb 10, 2017 to Mar 28, 2018
- State-registered IARs · 4 to 5Feb 10, 2017 to Mar 28, 2018
Signals
1 dated events
- M• J• S•••• A•• A••••••••• reported RAUM $886.1M, up 34% from $661.7M (2019-03-28 to 2020-03-18)Mar 18, 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.
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