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•••••••• A•••••••• I••
Latest filing Feb 3, 2012
First filing on the tape Dec 22, 2011 · 4 filings
RAUM
$27.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$13.8M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$27.7M as of Feb 3, 2012
Dec 22, 2011$28.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2012
Dec 22, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 3, 2012; every figure names its basis
- RAUM per advisor
- $13.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $89,568derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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 individualsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 309reported
- Financial planning clients
- 51-100reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| O••• T••••• S•••••• | Mckinney, Tx | Oct 13, 2003 | 34 y | 0 |
| O••• T••••• S••••••Certified Financial Planner | Mckinney, Tx | Jan 6, 2017 | 13 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
- J••• E••••• P••••• to F•• S••••••••• C•••••••••Oct 27, 2014 · Other
- L••••••• C•••••• R••••• to P•••••• W••••• A•••••••• I•••Aug 1, 2013 · Other
- M•••••• A• P••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 28, 2012 · Other
- J•••• D•••• C••••• to L•• W•••••• L••Oct 25, 2005 · Other
Joined, latest
- J••• E••••• P••••• from J••• M••••• S••••••••• L••Feb 7, 2014 · Other
- L••••••• C•••••• R••••• from S•••• H•••• A••••••• I••Feb 3, 2005 · Other
- J•••• D•••• C••••• from O•••• S••••••••• I•••Oct 13, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• M•••• D•••• · Chief Compliance Officer/Vp Port Mngrcontrolsince 12/2001 · owns less than 5%
- S••••••• O•••• T••••• · Presidentcontrolsince 01/2000 · owns 75% or more
Related persons
Schedule D 7.A
- M•••• F•••••••• C•••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mckinney, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenville, SC
- Lincoln, NE
What changed
consecutive filings, newest first
- Accounts · 312 to 309Dec 22, 2011 to Jan 20, 2012
- Discretionary RAUM · $28.3M to $27.7MDec 22, 2011 to Jan 20, 2012
- RAUM · $28.3M to $27.7MDec 22, 2011 to Jan 20, 2012
Signals
No event on the tape.
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
- Firm profile
- LINKEDIN.COM/COMPANY/M••••-WEALTH-ADVISORS-INC.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- M••••-WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $13.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026