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•••• M••••••••• C••••••• I•••
Legal name M•••• M••••••••• C•••••••• I•••
Latest filing Feb 24, 2026
First filing on the tape Nov 22, 2011 · 13 filings
SEC status approved since Jan 24, 2022
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
2
2 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$120M as of Feb 24, 2026
Jan 23, 2012$35.0M then
HNW client RAUM$90.8M as of Feb 24, 2026
Mar 22, 2022$79.6M then
State-registered IARs (5.B.3)2 as of Feb 24, 2026
Mar 22, 20222 then
Employees (5.A)2 as of Feb 24, 2026
Mar 22, 20222 then
Private funds: no history
RAUM +2.2% over the last fiscal year+6.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $428,648derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $119M, 90 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$90.8M76%
- Individuals$28.8M24%
- Individual clients
- 58reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 279reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $119M for 90 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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 |
|---|---|---|---|---|
| T••••• N•• P••••••• | Melbourne, Fl | Mar 12, 2009 | 37 y | 1 |
| J•••••• R••••• W••••• | Melbourne, Fl | Jan 1, 2025 | 26 y | 1 |
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
- J•••••• R••••• W••••• from C•••••• S••••• • C••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••••• N•• P••••••• from C•••••• S••••• • C••• I•••Mar 12, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• T•••••• N•• · President / Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Melbourne, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 282 to 279Feb 10, 2025 to Feb 24, 2026
- HNW clients · 30 to 32Feb 10, 2025 to Feb 24, 2026
- Individual clients · 64 to 58Feb 10, 2025 to Feb 24, 2026
- Assets in custody · $117M to $119MFeb 10, 2025 to Feb 24, 2026
- Discretionary RAUM · $117M to $120MFeb 10, 2025 to Feb 24, 2026
- HNW RAUM · $82.5M to $90.8MFeb 10, 2025 to Feb 24, 2026
- Individual RAUM · $34.6M to $28.8MFeb 10, 2025 to Feb 24, 2026
- RAUM · $117M to $120MFeb 10, 2025 to Feb 24, 2026
- HNW clients · 32 to 30Mar 14, 2024 to Feb 10, 2025
- Individual clients · 61 to 64Mar 14, 2024 to Feb 10, 2025
- Assets in custody · $106M to $117MMar 14, 2024 to Feb 10, 2025
- Financial planning clients · unset to Mar 14, 2024 to Feb 10, 2025
- Discretionary RAUM · $106M to $117MMar 14, 2024 to Feb 10, 2025
- HNW RAUM · $72.6M to $82.5MMar 14, 2024 to Feb 10, 2025
- Individual RAUM · $33.9M to $34.6MMar 14, 2024 to Feb 10, 2025
- RAUM · $106M to $117MMar 14, 2024 to Feb 10, 2025
- Accounts · 283 to 282Mar 14, 2024 to Feb 10, 2025
- Accounts · 298 to 283Mar 9, 2023 to Mar 14, 2024
- HNW clients · 29 to 32Mar 9, 2023 to Mar 14, 2024
- Individual clients · 67 to 61Mar 9, 2023 to Mar 14, 2024
- Assets in custody · $98.4M to $106MMar 9, 2023 to Mar 14, 2024
- Discretionary RAUM · $98.4M to $106MMar 9, 2023 to Mar 14, 2024
- HNW RAUM · $66.1M to $72.6MMar 9, 2023 to Mar 14, 2024
- Individual RAUM · $32.3M to $33.9MMar 9, 2023 to Mar 14, 2024
- RAUM · $98.4M to $106MMar 9, 2023 to Mar 14, 2024
- Accounts · 291 to 298Sep 12, 2022 to Mar 9, 2023
- HNW clients · 35 to 29Sep 12, 2022 to Mar 9, 2023
- Individual clients · 60 to 67Sep 12, 2022 to Mar 9, 2023
- Assets in custody · $110M to $98.4MSep 12, 2022 to Mar 9, 2023
- Discretionary RAUM · $110M to $98.4MSep 12, 2022 to Mar 9, 2023
- HNW RAUM · $79.6M to $66.1MSep 12, 2022 to Mar 9, 2023
- Individual RAUM · $30.2M to $32.3MSep 12, 2022 to Mar 9, 2023
- RAUM · $110M to $98.4MSep 12, 2022 to Mar 9, 2023
- Accounts · 292 to 291Dec 22, 2021 to Mar 22, 2022
- HNW clients · 34 to 35Dec 22, 2021 to Mar 22, 2022
- Individual clients · 61 to 60Dec 22, 2021 to Mar 22, 2022
- Assets in custody · $42.4M to $110MDec 22, 2021 to Mar 22, 2022
- Discretionary RAUM · $106M to $110MDec 22, 2021 to Mar 22, 2022
- HNW RAUM · $77.4M to $79.6MDec 22, 2021 to Mar 22, 2022
- Individual RAUM · $28.6M to $30.2MDec 22, 2021 to Mar 22, 2022
Signals
1 dated events
- M•••• M••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)Dec 22, 2021 · First SEC registration · fact
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 email
- t•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 321-258-1932reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-922-6624reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M••••MANAGEMENTC•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 321-258-1932reportedpublic record, Form ADV, Feb 24, 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
- $59.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026