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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SEC-registered adviser
U•• M•••••• A•••••••• I•••
Latest filing Feb 10, 2026
First filing on the tape Oct 2, 2012 · 30 filings
SEC status approved since May 20, 2004
RAUM
$73.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$73.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$73.7M as of Feb 10, 2026
Oct 2, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 10, 2026
Oct 2, 20120 then
Employees (5.A)2 as of Feb 10, 2026
Sep 30, 20133 then
Private funds: no history
RAUM -16% over the last fiscal year-4.5% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.7MderivedRAUM 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
- $36.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Investment companies$73.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• C•••• S•••••• | Wayland, Ma | Sep 23, 2020 | 13 y | 4 |
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
- N•••••••• G••••• to F••••••• P••••••• A•• W•••••••• A•••••••Dec 31, 2019 · Other
- C•••••• L•••• N••••• to P••• D•••• M•••••••• I••Dec 31, 2019 · Other
- C••••• K•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Dec 31, 2019 · Other
- B•••• A••••• S•••• to R••••• W• B•••• • C•• I•••••••••Dec 31, 2019 · Other
Joined, latest
- P••• C•••• S•••••• from F••• P•••• C•••••• P••••••• L••Sep 23, 2020 · Other
- N•••••••• G••••• from A•••••••• F•••• M••••••••• L••May 11, 2018 · Other
- C•••••• L•••• N••••• from G•• C•••••• I•••Oct 3, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••••• P••••••• A•• W•••••••• A•••••••Dec 31, 2019 · Milwaukee, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• L•••• · Cfocontrolsince 06/2020 · owns less than 5%
- S••••••• P•••• C•••• · Presidentcontrolsince 06/2021 · owns 10% to 25%
- S••••• R••••••• A••••• · Shareholdercontrolsince 06/1994 · owns 50% to 75% of M••••• Capital A•••••••
- C••••• A•••••• P••• · Chief Compliance Officersince 08/2022 · owns less than 5%
Entity owners
- M••••• C•••••• A•••••••• I•• · Stockholderdirect · 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
- Employees · 3 to 2Sep 26, 2025 to Feb 10, 2026
- HQ city · DALLAS to CONCORDSep 26, 2025 to Feb 10, 2026
- HQ state · TX to MASep 26, 2025 to Feb 10, 2026
- State-registered IARs · 1 to 0Sep 26, 2025 to Feb 10, 2026
- BD registered reps · 1 to 0Feb 3, 2025 to Sep 26, 2025
- Employees · 4 to 3Feb 3, 2025 to Sep 26, 2025
- State-registered IARs · 2 to 1Feb 3, 2025 to Sep 26, 2025
- Discretionary RAUM · $87.4M to $73.7MFeb 3, 2025 to Sep 26, 2025
- RAUM · $87.4M to $73.7MFeb 3, 2025 to Sep 26, 2025
- Financial planning clients · unset to Sep 18, 2024 to Feb 3, 2025
- BD registered reps · 0 to 1Sep 6, 2023 to Sep 18, 2024
- Discretionary RAUM · $104M to $87.4MSep 6, 2023 to Sep 18, 2024
- RAUM · $104M to $87.4MSep 6, 2023 to Sep 18, 2024
- BD registered reps · 1 to 0Sep 28, 2022 to Sep 6, 2023
- Employees · 2 to 4Sep 28, 2022 to Sep 6, 2023
- State-registered IARs · 1 to 2Sep 28, 2022 to Sep 6, 2023
- Discretionary RAUM · $84.8M to $104MSep 28, 2022 to Sep 6, 2023
- RAUM · $84.8M to $104MSep 28, 2022 to Sep 6, 2023
- Discretionary RAUM · $124M to $84.8MSep 29, 2021 to Sep 28, 2022
- RAUM · $124M to $84.8MSep 29, 2021 to Sep 28, 2022
- Advisory employees · 3 to 2Sep 29, 2020 to Sep 29, 2021
- BD registered reps · 5 to 1Sep 29, 2020 to Sep 29, 2021
- Employees · 6 to 2Sep 29, 2020 to Sep 29, 2021
- Insurance-licensed employees · 1 to 0Sep 29, 2020 to Sep 29, 2021
- State-registered IARs · 5 to 1Sep 29, 2020 to Sep 29, 2021
- Other offices · 1 to 0Sep 29, 2020 to Sep 29, 2021
- Discretionary RAUM · $185M to $124MSep 29, 2020 to Sep 29, 2021
- RAUM · $185M to $124MSep 29, 2020 to Sep 29, 2021
- BD registered reps · 3 to 5Sep 23, 2020 to Sep 29, 2020
- Employees · 8 to 6Sep 23, 2020 to Sep 29, 2020
- Insurance-licensed employees · 0 to 1Sep 23, 2020 to Sep 29, 2020
- State-registered IARs · 3 to 5Sep 23, 2020 to Sep 29, 2020
- Other offices · 0 to 1Sep 23, 2020 to Sep 29, 2020
- Accounts · 3 to 2Jul 6, 2020 to Sep 23, 2020
- Discretionary RAUM · $252M to $185MJul 6, 2020 to Sep 23, 2020
- RAUM · $252M to $185MJul 6, 2020 to Sep 23, 2020
- Other offices · 1 to 0Dec 2, 2019 to Jun 18, 2020
- Accounts · 1 to 3Mar 13, 2018 to Sep 4, 2018
- Advisory employees · 2 to 3Mar 13, 2018 to Sep 4, 2018
- BD registered reps · 0 to 3Mar 13, 2018 to Sep 4, 2018
Signals
13 dated events
- Dianne Descoteaux (Chief Compliance Officer) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2021-09-29, absent 2022-09-28)Sep 28, 2022 · Control person left · inference
- Conde Paul Strehle (President) appeared on Schedule A of U•• M•••••• A•••••••• I•••Sep 29, 2021 · Control person joined · fact
- Lee Jeffrey Bottom (President) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2020-09-29, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- S••••• N•••••••• G••••• (Coo) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2020-09-29, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- S••••• N•••••••• G••••• (Coo) appeared on Schedule A of U•• M•••••• A•••••••• I•••Sep 29, 2020 · Control person joined · fact
- Lance Robert Baker (Cfo) appeared on Schedule A of U•• M•••••• A•••••••• I•••Sep 29, 2020 · Control person joined · fact
- Francis Guy Talarico (Chief Compliance Officer) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2020-06-18, absent 2020-07-06)Jul 6, 2020 · Control person left · inference
- Dianne Descoteaux (Chief Compliance Officer) appeared on Schedule A of U•• M•••••• A•••••••• I•••Jul 6, 2020 · Control person joined · fact
- Norman Michael Loukas (President) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2019-04-02, absent 2019-09-18)Sep 18, 2019 · Control person left · inference
- Lea J••••• F••••••• (Chief Operating Officer) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2019-04-02, absent 2019-09-18)Sep 18, 2019 · Control person left · inference
- Lee Jeffrey Bottom (President) appeared on Schedule A of U•• M•••••• A•••••••• I•••Sep 18, 2019 · Control person joined · fact
- Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of U•• M•••••• A•••••••• I••• (listed 2019-02-04, absent 2019-04-02)Apr 2, 2019 · Control person left · inference
- Francis Guy Talarico (Chief Compliance Officer) appeared on Schedule A of U•• M•••••• A•••••••• I•••Apr 2, 2019 · Control person joined · fact
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/usa-mutualsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••••••• •••••• T• F••• S•••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312) 714-5596reportedpublic record, Form ADV, Feb 10, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026