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••••••••• T••••• W••••• M•••••••••

Former SEC-registered adviserSanta Rosa, CaliforniaCRD 121987SEC 801-121736IAPD
Legal name M••••••••• T••••• • C••••••• L••
Latest filing Jun 2, 2022
First filing on the tape Jun 11, 2021 · 8 filings
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$121M as of Jun 2, 2022
Jun 11, 2021$103M then
HNW client RAUM$66.4M as of Jun 2, 2022
Jun 11, 2021$48.5M then
State-registered IARs (5.B.3)3 as of Jun 2, 2022
Jun 11, 20213 then
Employees (5.A)21 as of Jun 2, 2022
Jun 11, 202121 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 2022; every figure names its basis
RAUM per advisor
$40.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
82derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$488,829derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$875,000, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$66.4M55%
  • Individuals$54.5M45%
  • Charitable organizations$344,2380.3%
Individual clients
215reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
248reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$875,000 for 1 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • T•••••• M••••••••• L•••• · Member And Chief Compliance Officercontrol
    since 01/2007 · owns 75% or more
  • L•••••• S•••••• K••••• · Member
    since 01/2019 · owns 5% to 10%
  • W••••••••• J•••••••• C•••• · Member
    since 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
  • M••••••••• T••••• • C•••••• I•••••••• S••••••••
    real estatey
  • M••••••••• T•••••• C••• L••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · unset to 875000.0
    May 3, 2022 to Jun 2, 2022
  • Custody of client assets · false to true
    May 3, 2022 to Jun 2, 2022
  • Accounts · 240 to 248
    Jan 17, 2022 to Feb 18, 2022
  • HNW clients · 26 to 32
    Jan 17, 2022 to Feb 18, 2022
  • Individual clients · 213 to 215
    Jan 17, 2022 to Feb 18, 2022
  • Discretionary RAUM · $103M to $121M
    Jan 17, 2022 to Feb 18, 2022
  • HNW RAUM · $48.5M to $66.4M
    Jan 17, 2022 to Feb 18, 2022
  • Individual RAUM · $54.5M to $54.5M
    Jan 17, 2022 to Feb 18, 2022
  • RAUM · $103M to $121M
    Jan 17, 2022 to Feb 18, 2022
Signals
3 dated events
  • S••••• C•••••••• K••• left M••••••••• T••••• W••••• M••••••••• for D••••• C••••••• I••• (registered 2022-07-26)
    Jul 1, 2022 · Advisor changed firm · fact
  • S••••• K••••• L••••• left M••••••••• T••••• W••••• M••••••••• for A•••• W••••• M••••••••• L•• (registered 2022-07-08)
    Jul 1, 2022 · Advisor changed firm · fact
  • M••••••••• T••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
    Jun 11, 2021 · 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