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•••••••• G••••• I•••

Former SEC-registered adviserHouston, TexasCRD 116334SEC 801-67127IAPD
Latest filing Sep 10, 2021
First filing on the tape Mar 8, 2012 · 20 filings
RAUM
$188M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$276M as of Feb 25, 2021
Mar 8, 2012$95.2M then
HNW client RAUM$163M as of Feb 25, 2021
Mar 9, 2018$101M then
State-registered IARs (5.B.3)1 as of Feb 25, 2021
Mar 8, 20120 then
Employees (5.A)1 as of Feb 25, 2021
Mar 5, 20131 then
Private funds: no history
RAUM -16% over the last fiscal year-1.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 10, 2021; every figure names its basis
RAUM per advisor
$188MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
505derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$269,244derivedRAUM over accounts (5.F.2.f)
Discretionary
94%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.6%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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
  • High-net-worth individuals$163M87%
  • Individuals$24.5M13%
Individual clients
421reported
HNW clients
84reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
698reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $81.6M managedreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • K••••• M••••••• D•••• · Chief Compliance Officer,Presidentcontrol
      since 11/1990 · owns less than 5%
    • N••••••• A•••• P••••• · Shareholdercontrol
      since 02/2020 · owns 75% or more of A••••••••• F•••••••• A••••••• I•••
    Entity owners
    • A••••••••• F•••••••• A••••••• I••• · Shareholder
      direct · owns 75% or more
    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 · 1,336 to 698
      Feb 25, 2021 to Sep 10, 2021
    • Discretionary RAUM · $253M to $176M
      Feb 25, 2021 to Sep 10, 2021
    • Individual RAUM · $113M to $24.5M
      Feb 25, 2021 to Sep 10, 2021
    • Non-discretionary RAUM · $22.9M to $12.0M
      Feb 25, 2021 to Sep 10, 2021
    • RAUM · $276M to $188M
      Feb 25, 2021 to Sep 10, 2021
    • Related adviser · false to true
      Feb 25, 2021 to Sep 10, 2021
    • Succession · false to true
      Feb 25, 2021 to Sep 10, 2021
    • Accounts · 1,196 to 1,336
      Jun 24, 2020 to Feb 25, 2021
    • HNW clients · 66 to 84
      Jun 24, 2020 to Feb 25, 2021
    • Individual clients · 426 to 421
      Jun 24, 2020 to Feb 25, 2021
    • Discretionary RAUM · $202M to $253M
      Jun 24, 2020 to Feb 25, 2021
    • HNW RAUM · $117M to $163M
      Jun 24, 2020 to Feb 25, 2021
    • Individual RAUM · $106M to $113M
      Jun 24, 2020 to Feb 25, 2021
    • Non-discretionary RAUM · $20.9M to $22.9M
      Jun 24, 2020 to Feb 25, 2021
    • RAUM · $223M to $276M
      Jun 24, 2020 to Feb 25, 2021
    • Wrap assets (manager) · $57.1M to $81.6M
      Jun 24, 2020 to Feb 25, 2021
    • Accounts · 1,191 to 1,196
      Mar 13, 2019 to Mar 12, 2020
    • HNW clients · 51 to 66
      Mar 13, 2019 to Mar 12, 2020
    • Individual clients · 433 to 426
      Mar 13, 2019 to Mar 12, 2020
    • Discretionary RAUM · $162M to $202M
      Mar 13, 2019 to Mar 12, 2020
    • HNW RAUM · $85.3M to $117M
      Mar 13, 2019 to Mar 12, 2020
    • Individual RAUM · $97.3M to $106M
      Mar 13, 2019 to Mar 12, 2020
    • Non-discretionary RAUM · $21.0M to $20.9M
      Mar 13, 2019 to Mar 12, 2020
    • RAUM · $183M to $223M
      Mar 13, 2019 to Mar 12, 2020
    • Wrap assets (manager) · $50.7M to $57.1M
      Mar 13, 2019 to Mar 12, 2020
    • Accounts · 1,115 to 1,191
      Mar 9, 2018 to Mar 13, 2019
    • HNW clients · 60 to 51
      Mar 9, 2018 to Mar 13, 2019
    • Individual clients · 435 to 433
      Mar 9, 2018 to Mar 13, 2019
    • Discretionary RAUM · $83.9M to $162M
      Mar 9, 2018 to Mar 13, 2019
    • HNW RAUM · $101M to $85.3M
      Mar 9, 2018 to Mar 13, 2019
    • Individual RAUM · $98.2M to $97.3M
      Mar 9, 2018 to Mar 13, 2019
    • Non-discretionary RAUM · $115M to $21.0M
      Mar 9, 2018 to Mar 13, 2019
    • RAUM · $199M to $183M
      Mar 9, 2018 to Mar 13, 2019
    • Wrap assets (manager) · $46.0M to $50.7M
      Mar 9, 2018 to Mar 13, 2019
    • Accounts · 868 to 1,115
      Sep 1, 2017 to Mar 9, 2018
    • HNW clients · unset to 60.0
      Sep 1, 2017 to Mar 9, 2018
    • Individual clients · unset to 435.0
      Sep 1, 2017 to Mar 9, 2018
    • Other offices · unset to 0.0
      Sep 1, 2017 to Mar 9, 2018
    • Discretionary RAUM · $37.2M to $83.9M
      Sep 1, 2017 to Mar 9, 2018
    • HNW RAUM · unset to 100827459.0
      Sep 1, 2017 to Mar 9, 2018
    Signals
    2 dated events
    • M•• F•••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Sep 10, 2021 · Succession (Item 4) · fact
    • Philip Alan Niemann (Shareholder) appeared on Schedule A of M•• F•••••••• G••••• I•••
      Sep 10, 2021 · Control person joined · 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