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•••••• W••••• M••••••••• G••••
Legal name M•• F•••••••• M••••••••• L•••••
Latest filing Apr 24, 2026
First filing on the tape Nov 15, 2011 · 39 filings
SEC status approved since Jan 15, 2002
RAUM
$489M
reported, Item 5.F
Discretionary
17%
of RAUM
Private clients
95%
$465M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$81.5M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$489M as of Apr 24, 2026
Mar 21, 2012$103M then
HNW client RAUM$387M as of Apr 24, 2026
Mar 30, 2018$141M then
State-registered IARs (5.B.3)6 as of Apr 24, 2026
Mar 21, 20120 then
Employees (5.A)9 as of Apr 24, 2026
Mar 20, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 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
- RAUM per advisor
- $81.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $512,276derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 17%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 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
- -1.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $126M, 163 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)
- 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$387M79%
- Individuals$78.4M16%
- Pension and profit-sharing plans$21.6M4.4%
- Charitable organizations$2.6M0.5%
- Individual clients
- 198reported
- HNW clients
- 103reported
- Pension plan clients
- 8reported
- Charitable clients
- 12reported
- Accounts
- 955reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 163 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• E••• K••••••••Certified Financial Planner | Fort Myers, Fl | Apr 27, 1999 | 27 y | 1 |
| S•••• K•• S•••• | Fort Myers, Fl | Jan 2, 2002 | 27 y | 0 |
| T••••• R••••• W••••••Certified Financial Planner, Chartered Financial Analyst | Fort Myers, Fl | Aug 11, 2005 | 22 y | 0 |
| B•••• P• O••••••••Certified Financial Planner | Fort Myers, Fl | Aug 25, 2008 | 25 y | 1 |
| M••••• C••••• H••••••••Certified Financial Planner | Fort Myers, Fl | Sep 23, 2022 | 15 y | 1 |
| A••••• R••••• G•••••• | Fort Myers, Fl | Nov 21, 2023 | 11 y | 0 |
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
- M•••••• G•••• to J••• M••••• S••••••••• L••Jul 31, 2023 · RIA to wirehouse
- M•••••• S•••••• to W•••• F•••• A•••••••Mar 18, 2022 · RIA to wirehouse
- J••••• S••••• P••••••• to C••••••••• W••••• A•••••••• L••Jul 31, 2008 · Other
Joined, latest
- M••••• C••••• H•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••• P• O•••••••• from P•••••• C•••••• M••••••••• L•Aug 25, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• R••••••• E••• · President/Managing Member/Chief Compliance Officercontrolsince 01/2021 · owns 10% to 25%
- O••••••••• B••••• P• · Membercontrolsince 01/2021 · owns 25% to 50%
- W••••••• T•••••• R••••• · Membercontrolsince 01/2021 · owns 25% to 50%
- S••••• S••••• K•• · Secretarysince 01/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Fort Myers, Fl · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,007 to 955Mar 25, 2025 to Mar 19, 2026
- Charity clients · 8 to 12Mar 25, 2025 to Mar 19, 2026
- HNW clients · 92 to 103Mar 25, 2025 to Mar 19, 2026
- Individual clients · 214 to 198Mar 25, 2025 to Mar 19, 2026
- Pension plan clients · 9 to 8Mar 25, 2025 to Mar 19, 2026
- Assets in custody · $114M to $126MMar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $69.8M to $82.6MMar 25, 2025 to Mar 19, 2026
- HNW RAUM · $333M to $387MMar 25, 2025 to Mar 19, 2026
- Individual RAUM · $76.1M to $78.4MMar 25, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $362M to $407MMar 25, 2025 to Mar 19, 2026
- Pension RAUM · $19.8M to $21.6MMar 25, 2025 to Mar 19, 2026
- RAUM · $431M to $489MMar 25, 2025 to Mar 19, 2026
- Accounts · 988 to 1,007Aug 20, 2024 to Mar 25, 2025
- Charity clients · unset to 8.0Aug 20, 2024 to Mar 25, 2025
- HNW clients · 86 to 92Aug 20, 2024 to Mar 25, 2025
- Individual clients · 210 to 214Aug 20, 2024 to Mar 25, 2025
- Pension plan clients · 10 to 9Aug 20, 2024 to Mar 25, 2025
- Assets in custody · $110M to $114MAug 20, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 51-100Aug 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $51.4M to $69.8MAug 20, 2024 to Mar 25, 2025
- HNW RAUM · $263M to $333MAug 20, 2024 to Mar 25, 2025
- Individual RAUM · $77.1M to $76.1MAug 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $310M to $362MAug 20, 2024 to Mar 25, 2025
- Pension RAUM · $20.1M to $19.8MAug 20, 2024 to Mar 25, 2025
- RAUM · $361M to $431MAug 20, 2024 to Mar 25, 2025
- Accounts · 949 to 988Sep 18, 2023 to Mar 26, 2024
- Advisory employees · 5 to 6Sep 18, 2023 to Mar 26, 2024
- HNW clients · 90 to 86Sep 18, 2023 to Mar 26, 2024
- Individual clients · 112 to 210Sep 18, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 10Sep 18, 2023 to Mar 26, 2024
- Assets in custody · $95.9M to $110MSep 18, 2023 to Mar 26, 2024
- Discretionary RAUM · $49.8M to $51.4MSep 18, 2023 to Mar 26, 2024
- HNW RAUM · $253M to $263MSep 18, 2023 to Mar 26, 2024
- Individual RAUM · $66.1M to $77.1MSep 18, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $277M to $310MSep 18, 2023 to Mar 26, 2024
- Pension RAUM · $7.4M to $20.1MSep 18, 2023 to Mar 26, 2024
- RAUM · $326M to $361MSep 18, 2023 to Mar 26, 2024
- Accounts · 909 to 949Oct 25, 2022 to Mar 21, 2023
- HNW clients · 95 to 90Oct 25, 2022 to Mar 21, 2023
- Individual clients · 129 to 112Oct 25, 2022 to Mar 21, 2023
Signals
2 dated events
- M•••••• G•••• left M•••••• W••••• M••••••••• G•••• for J••• M••••• S••••••••• L•• (registered 2023-09-21)Jul 31, 2023 · Advisor changed firm · fact
- M•••••• S•••••• left M•••••• W••••• M••••••••• G•••• for W•••• F•••• A••••••• (registered 2022-04-20)Mar 18, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- M•••••• W••••• M••••••••• G•••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-454-1117reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-454-0249reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-454-1117reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- M••••••WEALTHGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-454-1117reportedpublic record, Form ADV, Apr 24, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $81.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026