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

B•••••• • A•••••••••

Former SEC-registered adviserIndian Harbour Beach, FloridaCRD 129429SEC 801-88221IAPD
Legal name M••• E• B••••••• C••• P••••••••• A•••••••••
Latest filing Jun 25, 2020
First filing on the tape Jan 26, 2012 · 14 filings
RAUM
$155M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
95%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$155M as of Mar 10, 2020
Jan 26, 2012$77.0M then
HNW client RAUM$115M as of Mar 10, 2020
Feb 28, 2018$90.9M then
State-registered IARs (5.B.3)2 as of Mar 10, 2020
Jan 26, 20120 then
Employees (5.A)5 as of Mar 10, 2020
Mar 21, 20162 then
Private funds: no history
RAUM +13% over the last fiscal year+9.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$77.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
58derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$280,842derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
+0.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$48.0M, 28 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$115M74%
  • Individuals$31.4M20%
  • Pension and profit-sharing plans$8.2M5.3%
Individual clients
56reported
HNW clients
60reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
551reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$48.0M for 28 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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• M•••• E•••• · Owner/Chief Compliance Officercontrol
      since 03/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 540 to 551
      Nov 12, 2019 to Mar 10, 2020
    • HNW clients · 55 to 60
      Nov 12, 2019 to Mar 10, 2020
    • Individual clients · 60 to 56
      Nov 12, 2019 to Mar 10, 2020
    • Assets in custody · $1.2M to $48.0M
      Nov 12, 2019 to Mar 10, 2020
    • HNW RAUM · $94.5M to $115M
      Nov 12, 2019 to Mar 10, 2020
    • Individual RAUM · $32.0M to $31.4M
      Nov 12, 2019 to Mar 10, 2020
    • Non-discretionary RAUM · $137M to $155M
      Nov 12, 2019 to Mar 10, 2020
    • Pension RAUM · $10.6M to $8.2M
      Nov 12, 2019 to Mar 10, 2020
    • RAUM · $137M to $155M
      Nov 12, 2019 to Mar 10, 2020
    • Accounts · 505 to 540
      Feb 28, 2018 to Mar 14, 2019
    • HNW clients · 53 to 55
      Feb 28, 2018 to Mar 14, 2019
    • Individual clients · 69 to 60
      Feb 28, 2018 to Mar 14, 2019
    • Assets in custody · $2.7M to $1.2M
      Feb 28, 2018 to Mar 14, 2019
    • HNW RAUM · $90.9M to $94.5M
      Feb 28, 2018 to Mar 14, 2019
    • Individual RAUM · $33.2M to $32.0M
      Feb 28, 2018 to Mar 14, 2019
    • Non-discretionary RAUM · $133M to $137M
      Feb 28, 2018 to Mar 14, 2019
    • Pension RAUM · $9.0M to $10.6M
      Feb 28, 2018 to Mar 14, 2019
    • RAUM · $133M to $137M
      Feb 28, 2018 to Mar 14, 2019
    • Accounts · 523 to 505
      Nov 2, 2017 to Feb 28, 2018
    • HNW clients · unset to 53.0
      Nov 2, 2017 to Feb 28, 2018
    • Individual clients · unset to 69.0
      Nov 2, 2017 to Feb 28, 2018
    • Pension plan clients · unset to 7.0
      Nov 2, 2017 to Feb 28, 2018
    • Assets in custody · unset to 2688365.0
      Nov 2, 2017 to Feb 28, 2018
    • Custody of client assets · false to true
      Nov 2, 2017 to Feb 28, 2018
    • Employees · 2 to 5
      Nov 2, 2017 to Feb 28, 2018
    • HNW RAUM · unset to 90881553.0
      Nov 2, 2017 to Feb 28, 2018
    • Individual RAUM · unset to 33203536.0
      Nov 2, 2017 to Feb 28, 2018
    • Non-discretionary RAUM · $117M to $133M
      Nov 2, 2017 to Feb 28, 2018
    • Pension RAUM · unset to 9037260.0
      Nov 2, 2017 to Feb 28, 2018
    • RAUM · $117M to $133M
      Nov 2, 2017 to Feb 28, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Nov 2, 2017
    • Accounts · 115 to 523
      Mar 21, 2016 to Mar 8, 2017
    • Advisory employees · 1 to 2
      Mar 21, 2016 to Mar 8, 2017
    • State-registered IARs · 1 to 2
      Mar 21, 2016 to Mar 8, 2017
    • Non-discretionary RAUM · $103M to $117M
      Mar 21, 2016 to Mar 8, 2017
    • RAUM · $103M to $117M
      Mar 21, 2016 to Mar 8, 2017
    • Accounts · 480 to 115
      Apr 1, 2015 to Mar 21, 2016
    • Advisory employees · 2 to 1
      Apr 1, 2015 to Mar 21, 2016
    • Employees · 5 to 2
      Apr 1, 2015 to Mar 21, 2016
    • State-registered IARs · 3 to 1
      Apr 1, 2015 to Mar 21, 2016
    Signals
    1 dated events
    • B•••••• • A••••••••• filed its initial SEC registration (Form ADV)
      Apr 1, 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