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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Former SEC-registered adviser
M•••••• F•••••••• S•••••••• C••
Latest filing Mar 15, 2024
First filing on the tape Dec 21, 2011 · 17 filings
SEC status approved since Nov 25, 2016
RAUM
$156M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$156M as of Mar 15, 2024
Jan 30, 2012$63.0M then
HNW client RAUM$80.5M as of Mar 15, 2024
Mar 21, 2018$53.3M then
State-registered IARs (5.B.3)2 as of Mar 15, 2024
Jan 30, 20120 then
Employees (5.A)9 as of Mar 15, 2024
Mar 8, 201710 then
Private funds: no history
RAUM +13% over the last fiscal year+1.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
- RAUM per advisor
- $77.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $278,454derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.5M54%
- Individuals$55.3M37%
- Corporations and businesses$12.6M8.4%
- Pension and profit-sharing plans$1.4M0.9%
- Charitable organizations$553,3060.4%
- Individual clients
- 213reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 559reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••••• L••••••• M•••••• to W•••••• A•••••••• L••Jan 13, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J••••••• L••••••• · President/Owner/Chief Executive Officer/Chief Compliance Officercontrolsince 06/1997 · owns 75% or more
Related persons
Schedule D 7.A
- J•••••• L• M••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Canon City, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 572 to 559May 5, 2023 to Mar 15, 2024
- Individual clients · 205 to 213May 5, 2023 to Mar 15, 2024
- Employees · 10 to 9May 5, 2023 to Mar 15, 2024
- Discretionary RAUM · $132M to $150MMay 5, 2023 to Mar 15, 2024
- HNW RAUM · $73.9M to $80.5MMay 5, 2023 to Mar 15, 2024
- Individual RAUM · $45.6M to $55.3MMay 5, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $5.0M to $5.4MMay 5, 2023 to Mar 15, 2024
- Pension RAUM · $1.7M to $1.4MMay 5, 2023 to Mar 15, 2024
- RAUM · $137M to $156MMay 5, 2023 to Mar 15, 2024
- Accounts · 274 to 572Mar 13, 2023 to May 5, 2023
- Individual clients · 221 to 205Mar 13, 2023 to May 5, 2023
- Accounts · 260 to 274Mar 30, 2022 to Mar 13, 2023
- HNW clients · 36 to 33Mar 30, 2022 to Mar 13, 2023
- Individual clients · 201 to 221Mar 30, 2022 to Mar 13, 2023
- Financial planning clients · 11-25 to 1-10Mar 30, 2022 to Mar 13, 2023
- Discretionary RAUM · $163M to $132MMar 30, 2022 to Mar 13, 2023
- HNW RAUM · $93.4M to $73.9MMar 30, 2022 to Mar 13, 2023
- Individual RAUM · $53.3M to $45.6MMar 30, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $6.9M to $5.0MMar 30, 2022 to Mar 13, 2023
- Pension RAUM · $2.0M to $1.7MMar 30, 2022 to Mar 13, 2023
- RAUM · $170M to $137MMar 30, 2022 to Mar 13, 2023
- Accounts · 267 to 260Oct 25, 2021 to Mar 30, 2022
- Individual clients · 209 to 201Oct 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $144M to $163MOct 25, 2021 to Mar 30, 2022
- HNW RAUM · $90.0M to $93.4MOct 25, 2021 to Mar 30, 2022
- Individual RAUM · $39.3M to $53.3MOct 25, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $6.7M to $6.9MOct 25, 2021 to Mar 30, 2022
- Pension RAUM · $2.3M to $2.0MOct 25, 2021 to Mar 30, 2022
- RAUM · $151M to $170MOct 25, 2021 to Mar 30, 2022
- HNW clients · 30 to 36May 19, 2020 to Mar 17, 2021
- Individual clients · 215 to 209May 19, 2020 to Mar 17, 2021
- Financial planning clients · 1-10 to 11-25May 19, 2020 to Mar 17, 2021
- Discretionary RAUM · $124M to $144MMay 19, 2020 to Mar 17, 2021
- HNW RAUM · $60.7M to $90.0MMay 19, 2020 to Mar 17, 2021
- Individual RAUM · $50.9M to $39.3MMay 19, 2020 to Mar 17, 2021
- Non-discretionary RAUM · $5.0M to $6.7MMay 19, 2020 to Mar 17, 2021
- Pension RAUM · $2.1M to $2.3MMay 19, 2020 to Mar 17, 2021
- RAUM · $129M to $151MMay 19, 2020 to Mar 17, 2021
- Accounts · 254 to 267Mar 20, 2019 to Mar 28, 2020
- Charity clients · 2.0 to unsetMar 20, 2019 to Mar 28, 2020
Signals
4 dated events
- M•••••• F•••••••• S•••••••• C•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $155.7M)Feb 3, 2025 · Left the SEC roster · derived
- J•••••• L••••••• M•••••• left M•••••• F•••••••• S•••••••• C•• for W•••••• A•••••••• L•• (registered 2024-10-30)Jan 13, 2025 · Advisor changed firm · fact
- Everett Shad Johnson (Investment Advisor Representative) no longer on Schedule A of M•••••• F•••••••• S•••••••• C•• (listed 2023-05-05, absent 2024-03-15)Mar 15, 2024 · Control person left · inference
- M•••••• F•••••••• S•••••••• C•• filed its initial SEC registration (Form ADV)Nov 7, 2016 · 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.
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