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.
SEC-registered adviser
Millennium Investment And Retirement Advisors, LLC
Latest filing Jun 8, 2026
First filing on the tape Apr 11, 2012 · 31 filings
SEC status approved since Apr 26, 2012
RAUM
$1.4B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
2.1%
$29.6M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$346M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.4B as of Jun 8, 2026
Apr 1, 2013$360M then
HNW client RAUM$13.7M as of Jun 8, 2026
Mar 14, 2019$13.0M then
State-registered IARs (5.B.3)4 as of Jun 8, 2026
Apr 1, 20136 then
Employees (5.A)6 as of Jun 8, 2026
Apr 1, 201310 then
Private funds: no history
RAUM +0.8% over the last fiscal year-4.5% a year over threeIARs 5 to 4offices 5 to 4
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $346MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, 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)
- 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
- Pension and profit-sharing plans$1.4B98%
- Individuals$15.9M1.1%
- High-net-worth individuals$13.7M1.0%
- Individual clients
- 179reported
- HNW clients
- 3reported
- Pension plan clients
- 341reported
- Charitable clients
- 0reported
- Accounts
- 523reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.98 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ricky Gene CanipeCertified Financial Planner | Winston Salem, Nc | Jan 5, 2017 | 24 y | 2 |
| James Matthew Holland | Winston Salem, Nc | Jan 5, 2017 | 34 y | 2 |
| Michael Alan EdbergChartered Financial Analyst | Bethesda, Md | Sep 5, 2017 | 13 y | 2 |
| Colin Stevens Dixon | Winston Salem, Nc | Sep 20, 2024 | 14 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 headcount2 left over 36 months
Left, latest
- Douglas Anthony Rongo to Cambridge Investment Research Advisors, Inc.Jun 17, 2025 · Other
- Joel Gilbert Regier to Bondurant Investment Advisory, LLCNov 30, 2023 · Other
- Gary Bruce Berdoff to Northstar Fiduciary Partners, LLCAug 17, 2023 · Other
- William Roger Branch to Northstar Fiduciary Partners, LLCJun 5, 2023 · Other
- Michael Paul Ziccardi to Cbiz Retirement Plan Advisory ServicesDec 31, 2016 · Other
- Milton Dario Castellanos to Provident Source, LLCJul 27, 2011 · Other
Joined, latest
- Colin Stevens Dixon from Expand Financial, LLCSep 20, 2024 · Other
- Douglas Anthony Rongo from Cambridge Investment Research Advisors, Inc.Jun 24, 2022 · Other
- Joel Gilbert Regier from Brookstone Capital Management LLCOct 1, 2021 · Other
- Gary Bruce Berdoff from Acuity Wealth Management, LLCFeb 15, 2019 · Other
- Michael Alan Edberg from Peakstone Financial AdvisorsSep 5, 2017 · Other
- Michael Paul Ziccardi from Nfp Advisor Services, LLCNov 1, 2013 · Other
- Milton Dario Castellanos from Ameritas Advisory ServicesDec 9, 2010 · Other
- James Matthew Holland from Consolidated Portfolio Review CorpMay 20, 2009 · Other
- William Roger Branch from PresidiumApr 29, 2009 · Other
- Ricky Gene Canipe from PresidiumDec 24, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gene Ricky Canipe · Chief Compliance Officercontrolsince 01/2000 · owns less than 5%
- Morris Yvonne Rizk · Owner And Managing Membercontrolsince 08/2024 · owns 25% to 50%
- Clay John Dixon · Ownercontrolsince 08/2024 · owns 75% or more of Cothrom LLC
- Stevens Colin Dixon · Ownersince 08/2024 · owns 10% to 25%
- Matthew James Holland · Assistant Compliance Officersince 01/2019 · owns less than 5%
Entity owners
- Cothrom LLC · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Winston Salem, Nc | 4 | 0 | 0 | ||
| Hickory, Nc | 0 | 0 | 0 | ||
| Rolling Meadows, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hickory, NC1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,374,389,476 to $1,384,837,041, advisors 5 to 4, private clients 264 to 182, offices 5 to 4 (2025-03-26 to 2026-03-30)peers: institutional managers, $1B to $5B (121)
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Mar 30, 2026 to Jun 8, 2026
- Financial planning clients · to 0Mar 30, 2026 to Jun 8, 2026
- Accounts · 647 to 523Dec 9, 2025 to Mar 30, 2026
- Advisory employees · 8 to 5Dec 9, 2025 to Mar 30, 2026
- HNW clients · 6 to 3Dec 9, 2025 to Mar 30, 2026
- Individual clients · 258 to 179Dec 9, 2025 to Mar 30, 2026
- Pension plan clients · 349 to 341Dec 9, 2025 to Mar 30, 2026
- Employees · 8 to 6Dec 9, 2025 to Mar 30, 2026
- State-registered IARs · 5 to 4Dec 9, 2025 to Mar 30, 2026
- Other offices · 5 to 4Dec 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.3BDec 9, 2025 to Mar 30, 2026
- HNW RAUM · $17.1M to $13.7MDec 9, 2025 to Mar 30, 2026
- Individual RAUM · $41.6M to $15.9MDec 9, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $73.3M to $56.5MDec 9, 2025 to Mar 30, 2026
- Pension RAUM · $1.3B to $1.4BDec 9, 2025 to Mar 30, 2026
- RAUM · $1.4B to $1.4BDec 9, 2025 to Mar 30, 2026
- Accounts · 703 to 647Sep 18, 2024 to Mar 26, 2025
- Advisory employees · 4 to 8Sep 18, 2024 to Mar 26, 2025
- HNW clients · 12 to 6Sep 18, 2024 to Mar 26, 2025
- Individual clients · 305 to 258Sep 18, 2024 to Mar 26, 2025
- Pension plan clients · 386 to 349Sep 18, 2024 to Mar 26, 2025
- Employees · 6 to 8Sep 18, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 18, 2024 to Mar 26, 2025
- HQ city · CHARLOTTE to Sep 18, 2024 to Mar 26, 2025
- HQ state · NC to Sep 18, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 5Sep 18, 2024 to Mar 26, 2025
- Other offices · 3 to 5Sep 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $51.6M to $1.3BSep 18, 2024 to Mar 26, 2025
- HNW RAUM · $29.9M to $17.1MSep 18, 2024 to Mar 26, 2025
- Individual RAUM · $21.7M to $41.6MSep 18, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.6B to $73.3MSep 18, 2024 to Mar 26, 2025
- Pension RAUM · $1.6B to $1.3BSep 18, 2024 to Mar 26, 2025
- RAUM · $1.7B to $1.4BSep 18, 2024 to Mar 26, 2025
- Other offices · 4 to 3May 16, 2024 to Aug 27, 2024
- Accounts · 669 to 703Nov 28, 2023 to Mar 21, 2024
- Advisory employees · 7 to 4Nov 28, 2023 to Mar 21, 2024
- Individual clients · 286 to 305Nov 28, 2023 to Mar 21, 2024
- Pension plan clients · 383 to 386Nov 28, 2023 to Mar 21, 2024
- Employees · 10 to 6Nov 28, 2023 to Mar 21, 2024
- State-registered IARs · 7 to 4Nov 28, 2023 to Mar 21, 2024
Signals
11 dated events
- Douglas Anthony Rongo left Millennium Investment And Retirement Advisors, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-06-16)Jun 17, 2025 · Advisor changed firm · fact
- Morris Yvonne Rizk (Owner And Managing Member) appeared on Schedule A of Millennium Investment And Retirement Advisors, LlcAug 27, 2024 · Control person joined · fact
- Clay John Dixon (Owner) appeared on Schedule A of Millennium Investment And Retirement Advisors, LlcAug 27, 2024 · Control person joined · fact
- Joel Gilbert Regier left Millennium Investment And Retirement Advisors, Llc for Bondurant Investment Advisory, Llc (registered 2023-12-01)Nov 30, 2023 · Advisor changed firm · fact
- Gary Bruce Berdoff left Millennium Investment And Retirement Advisors, Llc for Northstar Fiduciary Partners, Llc (registered 2024-02-14)Aug 17, 2023 · Advisor changed firm · fact
- William Roger Branch left Millennium Investment And Retirement Advisors, Llc for Northstar Fiduciary Partners, Llc (registered 2024-02-04)Jun 5, 2023 · Advisor changed firm · fact
- Millennium Investment And Retirement Advisors, Llc reported RAUM $1.8B, up 31% from $1.4B (2021-10-01 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- Millennium Investment And Retirement Advisors, Llc reported RAUM $1.4B, up 33% from $1.0B (2020-06-29 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- Millennium Investment And Retirement Advisors, Llc reported RAUM $1.0B, up 64% from $623.6M (2019-03-14 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Matthew James Holland (Assistant Compliance Officer) appeared on Schedule A of Millennium Investment And Retirement Advisors, LlcMar 30, 2020 · Control person joined · fact
- Millennium Investment And Retirement Advisors, Llc reported RAUM $737.7M, up 28% from $578.1M (2017-09-05 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
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
- Website
- MIRACENTER.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-344-4038reportedpublic record, Form ADV, Jun 8, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $346Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026