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M•••• S•••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $76.2M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $76.2M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +9.0%
- Private clients
- 100% of RAUM, $76.2M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- discretionary share of RAUM 0Peer median 1
- Contact points 1
Every filed figure, and the identifiersCRD 129443 · SEC 801-69291 · 16 filingsShowHide
CRD 129443SEC 801-69291Legal name M•••• S•••••• E•••First filing on the tape Feb 14, 2012, latest Mar 7, 2026SEC status approved since Jun 23, 2008IAPD
RAUM
$76.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$76.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$76.2M as of Mar 7, 2026
Feb 14, 2012$35.5M then
HNW client RAUM$18.9M as of Mar 7, 2026
Feb 26, 2018$12.7M then
State-registered IARs (5.B.3)0 as of Mar 7, 2026
Feb 14, 20120 then
Employees (5.A)1 as of Mar 7, 2026
Feb 22, 20132 then
Private funds: no history
RAUM +9.0% over the last fiscal year+7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.4MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 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
- 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
- Individuals$57.4M75%
- High-net-worth individuals$18.9M25%
- Individual clients
- 45reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• S••••••• E••• · Principal/Chief Compliance Officercontrolsince 01/1994 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 7, 2026discretionary share of RAUM of 0% against a peer median of 100% (309 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (309) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 48 to 47Feb 6, 2025 to Mar 7, 2026
- HNW RAUM · $18.1M to $18.9MFeb 6, 2025 to Mar 7, 2026
- Individual RAUM · $50.8M to $57.4MFeb 6, 2025 to Mar 7, 2026
- Non-discretionary RAUM · $69.9M to $76.2MFeb 6, 2025 to Mar 7, 2026
- RAUM · $69.9M to $76.2MFeb 6, 2025 to Mar 7, 2026
- Accounts · 47 to 48Apr 30, 2024 to Feb 6, 2025
- Financial planning clients · 11-25 to 11-25Apr 30, 2024 to Feb 6, 2025
- HQ city · unset to Apr 30, 2024 to Feb 6, 2025
- HQ state · unset to Apr 30, 2024 to Feb 6, 2025
- HNW RAUM · $18.2M to $18.1MApr 30, 2024 to Feb 6, 2025
- Individual RAUM · $51.1M to $50.8MApr 30, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $69.3M to $69.9MApr 30, 2024 to Feb 6, 2025
- RAUM · $69.3M to $69.9MApr 30, 2024 to Feb 6, 2025
- Accounts · 49 to 47Feb 1, 2023 to Apr 30, 2024
- Individual clients · 49 to 45Feb 1, 2023 to Apr 30, 2024
- HNW RAUM · $17.3M to $18.2MFeb 1, 2023 to Apr 30, 2024
- Individual RAUM · $43.9M to $51.1MFeb 1, 2023 to Apr 30, 2024
- Non-discretionary RAUM · $61.2M to $69.3MFeb 1, 2023 to Apr 30, 2024
- RAUM · $61.2M to $69.3MFeb 1, 2023 to Apr 30, 2024
- Accounts · 48 to 49Feb 1, 2022 to Feb 1, 2023
- Individual clients · 48 to 49Feb 1, 2022 to Feb 1, 2023
- HNW RAUM · $19.2M to $17.3MFeb 1, 2022 to Feb 1, 2023
- Individual RAUM · $54.2M to $43.9MFeb 1, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $73.4M to $61.2MFeb 1, 2022 to Feb 1, 2023
- RAUM · $73.4M to $61.2MFeb 1, 2022 to Feb 1, 2023
- HNW RAUM · $32.7M to $19.2MFeb 9, 2021 to Feb 1, 2022
- Individual RAUM · $52.6M to $54.2MFeb 9, 2021 to Feb 1, 2022
- Non-discretionary RAUM · $85.3M to $73.4MFeb 9, 2021 to Feb 1, 2022
- RAUM · $85.3M to $73.4MFeb 9, 2021 to Feb 1, 2022
- Accounts · 51 to 48May 4, 2020 to Feb 9, 2021
- Individual clients · 49 to 48May 4, 2020 to Feb 9, 2021
- HNW RAUM · $42.6M to $32.7MMay 4, 2020 to Feb 9, 2021
- Individual RAUM · $43.8M to $52.6MMay 4, 2020 to Feb 9, 2021
- Non-discretionary RAUM · $86.4M to $85.3MMay 4, 2020 to Feb 9, 2021
- RAUM · $86.4M to $85.3MMay 4, 2020 to Feb 9, 2021
- Accounts · 50 to 51Feb 4, 2019 to Feb 28, 2020
- HNW clients · 17 to 2Feb 4, 2019 to Feb 28, 2020
- Individual clients · 33 to 49Feb 4, 2019 to Feb 28, 2020
- HNW RAUM · $66.5M to $42.6MFeb 4, 2019 to Feb 28, 2020
- Individual RAUM · $10.5M to $43.8MFeb 4, 2019 to Feb 28, 2020
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 7, 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
- Independent wealth managerderiveda 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