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•••••• S•••••••••

Former SEC-registered adviserS•••••••••, ArizonaCRD 114949SEC 801-60508IAPD
Legal name M•••••• S••••••••• L•
Latest filing Jul 15, 2013
First filing on the tape Mar 21, 2012 · 5 filings
RAUM
$2.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.1B as of Mar 20, 2013
Mar 21, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 20, 2013
Mar 21, 20120 then
Employees (5.A): 8
Private funds: no history
RAUM +4.1% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Jul 15, 2013; every figure names its basis
RAUM per advisor
$2.1BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$38.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
54reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• W••••••• K•••• · Managing Director And Chief Investment Officercontrol
        since 09/2005 · owns less than 5%
      • F•••••• A•••••••• · Managing Director & Portfolio Managercontrol
        since 07/2013 · owns 5% to 10%
      • F••••• K••••••••• L••••• · Executive Directorcontrol
        since 07/1993 · owns less than 5%
      • K••••• P•••••• M•••• · General Counsel And Chief Legal Officercontrol
        since 09/2009 · owns less than 5%
      • L•••••••• P•••• A• · Executive Directorcontrol
        since 07/2013 · owns less than 5%
      • M•••••• D•••••• J••••• · Managing Director & Portflio Managercontrol
        since 07/2013 · owns less than 5%
      • S••••••••• M••••••• J••••• · Executive Directorcontrol
        since 07/1993 · owns less than 5%
      • S••••••• W••••••• S••• F••••• · Executive Directorcontrol
        since 07/2013 · owns less than 5%
      • S•••••••• J••• R••••• · Executive Directorcontrol
        since 07/1993 · owns less than 5%
      • B••••••• F••••• E••••• · Chairman Of The Boardcontrol
        since 07/1993 · owns 25% to 50% of M•••••• I••••••••• H•••••••• I••.
      • D••••••• E••••••••• A• · Chief Financial Officer
        since 09/2008 · owns less than 5%
      • M••••• W••••• R•••••• · Chief Compliance Officer
        since 04/2000 · owns less than 5%
      • S•••• J••••••• L•••• · Shareholder
        since 09/1997 · owns 5% to 10%
      Entity owners
      • M•••••• A•••• M••••••••• L•• · Corporate Parent
        direct · owns 75% or more
      • M•••••• I••••••••• H•••••••• I•• · Holding Company
        indirect · owns 75% or more of M•••••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 55 to 54
        May 3, 2012 to Mar 20, 2013
      • Advisory employees · unset to 3.0
        May 3, 2012 to Mar 20, 2013
      • BD registered reps · unset to 1.0
        May 3, 2012 to Mar 20, 2013
      • Employees · unset to 8.0
        May 3, 2012 to Mar 20, 2013
      • State-registered IARs · 0 to 1
        May 3, 2012 to Mar 20, 2013
      • Discretionary RAUM · $2.0B to $2.0B
        May 3, 2012 to Mar 20, 2013
      • Non-discretionary RAUM · $6.8M to $14.4M
        May 3, 2012 to Mar 20, 2013
      • RAUM · $2.0B to $2.1B
        May 3, 2012 to Mar 20, 2013
      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