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•••••••• M••••••••• L••

Former SEC-registered adviserCRD 119501SEC 801-87173IAPD
Latest filing Oct 2, 2020
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$137M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$128M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$137M as of Mar 26, 2020
Mar 29, 2012$81.6M then
HNW client RAUM$56.9M as of Mar 26, 2020
Mar 28, 2018$41.4M then
State-registered IARs (5.B.3)2 as of Mar 26, 2020
Mar 29, 20120 then
Employees (5.A)4 as of Mar 26, 2020
Mar 28, 20163 then
Private funds: no history
RAUM +14% over the last fiscal year+4.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 2, 2020; every figure names its basis
RAUM per advisor
$68.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$444,182derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$71.0M52%
  • High-net-worth individuals$56.9M42%
  • Corporations and businesses$8.9M6.5%
Individual clients
62reported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
308reported
Financial planning clients
26-50reported
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
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
    • M•••••• A•••••• K•••••• · Membercontrol
      since 01/2014 · owns 25% to 50%
    • M•••••• C••••• A••• · Chief Compliance Officercontrol
      since 09/2020 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Advisers that list M••••• F•••••••• M••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · MUNCIE to unset
      Jun 24, 2020 to Oct 2, 2020
    • HQ state · IN to unset
      Jun 24, 2020 to Oct 2, 2020
    • Other offices · 1 to 0
      Jun 24, 2020 to Oct 2, 2020
    • Accounts · 304 to 308
      Mar 25, 2019 to Mar 26, 2020
    • Corporate clients · 4 to 2
      Mar 25, 2019 to Mar 26, 2020
    • HNW clients · 7 to 13
      Mar 25, 2019 to Mar 26, 2020
    • Individual clients · 66 to 62
      Mar 25, 2019 to Mar 26, 2020
    • Other offices · 0 to 1
      Mar 25, 2019 to Mar 26, 2020
    • Discretionary RAUM · $120M to $136M
      Mar 25, 2019 to Mar 26, 2020
    • HNW RAUM · $34.5M to $56.9M
      Mar 25, 2019 to Mar 26, 2020
    • Individual RAUM · $75.6M to $71.0M
      Mar 25, 2019 to Mar 26, 2020
    • Non-discretionary RAUM · $808,735 to $864,690
      Mar 25, 2019 to Mar 26, 2020
    • RAUM · $120M to $137M
      Mar 25, 2019 to Mar 26, 2020
    • Accounts · 289 to 304
      Mar 28, 2018 to Mar 25, 2019
    • Corporate clients · 3 to 4
      Mar 28, 2018 to Mar 25, 2019
    • Individual clients · 63 to 66
      Mar 28, 2018 to Mar 25, 2019
    • Financial planning clients · 1-10 to 26-50
      Mar 28, 2018 to Mar 25, 2019
    • Discretionary RAUM · $124M to $120M
      Mar 28, 2018 to Mar 25, 2019
    • HNW RAUM · $41.4M to $34.5M
      Mar 28, 2018 to Mar 25, 2019
    • Individual RAUM · $81.0M to $75.6M
      Mar 28, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $671,063 to $808,735
      Mar 28, 2018 to Mar 25, 2019
    • RAUM · $125M to $120M
      Mar 28, 2018 to Mar 25, 2019
    • Accounts · 273 to 289
      Mar 28, 2017 to Mar 28, 2018
    • Advisory activities · 4 to 3
      Mar 28, 2017 to Mar 28, 2018
    • Corporate clients · unset to 3.0
      Mar 28, 2017 to Mar 28, 2018
    • HNW clients · unset to 7.0
      Mar 28, 2017 to Mar 28, 2018
    • Individual clients · unset to 63.0
      Mar 28, 2017 to Mar 28, 2018
    • Employees · 3 to 4
      Mar 28, 2017 to Mar 28, 2018
    • Financial planning clients · 11-25 to 1-10
      Mar 28, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 28, 2018
    • Discretionary RAUM · $118M to $124M
      Mar 28, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 41370830.0
      Mar 28, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 81034147.0
      Mar 28, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $547,029 to $671,063
      Mar 28, 2017 to Mar 28, 2018
    • RAUM · $119M to $125M
      Mar 28, 2017 to Mar 28, 2018
    • Accounts · 271 to 273
      Mar 28, 2016 to Mar 28, 2017
    • Financial planning clients · 26-50 to 11-25
      Mar 28, 2016 to Mar 28, 2017
    • Discretionary RAUM · $114M to $118M
      Mar 28, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $502,727 to $547,029
      Mar 28, 2016 to Mar 28, 2017
    • RAUM · $115M to $119M
      Mar 28, 2016 to Mar 28, 2017
    Signals
    1 dated events
    • M••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 30, 2015 · 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