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.

Former SEC-registered adviser

Mgm LLC

Former SEC-registered adviserAlbuquerque, New MexicoCRD 136725SEC 801-64672IAPD
Latest filing Mar 31, 2023
First filing on the tape Nov 29, 2011 · 32 filings
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$145M as of Mar 31, 2023
Mar 20, 2012$91.6M then
HNW client RAUM$77.2M as of Mar 31, 2023
Mar 30, 2018$49.8M then
State-registered IARs (5.B.3)3 as of Mar 31, 2023
Mar 20, 20120 then
Employees (5.A)4 as of Mar 31, 2023
Mar 28, 20136 then
Private funds: no history
RAUM -7.8% over the last fiscal year+4.3% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$48.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$554,399derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.8%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-12%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$88.8M, 40 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$77.2M53%
  • Individuals$65.9M46%
  • Corporations and businesses$1.6M1.1%
Individual clients
212reported
HNW clients
45reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
261reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$88.8M for 40 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
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Keil Christopher Hicks · Managing Member / Chief Compliance Officercontrol
        since 07/2012 · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list Mgm LLC as a related person
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Albuquerque, Nm · principal000
      Offices
      Schedule D 1.F, the 25 largest
      • Portland, OR2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 242 to 261
        Dec 6, 2022 to Mar 31, 2023
      • Advisory employees · 2 to 3
        Dec 6, 2022 to Mar 31, 2023
      • HNW clients · 21 to 45
        Dec 6, 2022 to Mar 31, 2023
      • Individual clients · 271 to 212
        Dec 6, 2022 to Mar 31, 2023
      • Assets in custody · $5.4M to $88.8M
        Dec 6, 2022 to Mar 31, 2023
      • State-registered IARs · 2 to 3
        Dec 6, 2022 to Mar 31, 2023
      • Discretionary RAUM · $157M to $145M
        Dec 6, 2022 to Mar 31, 2023
      • HNW RAUM · $52.9M to $77.2M
        Dec 6, 2022 to Mar 31, 2023
      • Individual RAUM · $99.8M to $65.9M
        Dec 6, 2022 to Mar 31, 2023
      • Pension RAUM · 329844.0 to unset
        Dec 6, 2022 to Mar 31, 2023
      • RAUM · $157M to $145M
        Dec 6, 2022 to Mar 31, 2023
      • Accounts · 691 to 242
        Mar 24, 2021 to Mar 29, 2022
      • HNW clients · 14 to 21
        Mar 24, 2021 to Mar 29, 2022
      • Individual clients · 223 to 271
        Mar 24, 2021 to Mar 29, 2022
      • Assets in custody · $4.3M to $5.4M
        Mar 24, 2021 to Mar 29, 2022
      • Discretionary RAUM · $149M to $157M
        Mar 24, 2021 to Mar 29, 2022
      • HNW RAUM · $41.1M to $52.9M
        Mar 24, 2021 to Mar 29, 2022
      • Individual RAUM · $99.7M to $99.8M
        Mar 24, 2021 to Mar 29, 2022
      • Pension RAUM · $4.0M to $329,844
        Mar 24, 2021 to Mar 29, 2022
      • RAUM · $149M to $157M
        Mar 24, 2021 to Mar 29, 2022
      • Accounts · 627 to 691
        Jun 30, 2020 to Mar 24, 2021
      • Charity clients · 7.0 to unset
        Jun 30, 2020 to Mar 24, 2021
      • HNW clients · 6 to 14
        Jun 30, 2020 to Mar 24, 2021
      • Individual clients · 605 to 223
        Jun 30, 2020 to Mar 24, 2021
      • Pension plan clients · 7.0 to unset
        Jun 30, 2020 to Mar 24, 2021
      • Discretionary RAUM · $128M to $149M
        Jun 30, 2020 to Mar 24, 2021
      • HNW RAUM · $6.8M to $41.1M
        Jun 30, 2020 to Mar 24, 2021
      • Individual RAUM · $114M to $99.7M
        Jun 30, 2020 to Mar 24, 2021
      • Pension RAUM · $3.3M to $4.0M
        Jun 30, 2020 to Mar 24, 2021
      • RAUM · $128M to $149M
        Jun 30, 2020 to Mar 24, 2021
      • Accounts · 591 to 627
        Mar 29, 2019 to Apr 1, 2020
      • Charity clients · unset to 7.0
        Mar 29, 2019 to Apr 1, 2020
      • Corporate clients · 5.0 to unset
        Mar 29, 2019 to Apr 1, 2020
      • HNW clients · 12 to 6
        Mar 29, 2019 to Apr 1, 2020
      • Individual clients · 543 to 605
        Mar 29, 2019 to Apr 1, 2020
      • Pension plan clients · unset to 7.0
        Mar 29, 2019 to Apr 1, 2020
      • Assets in custody · $1.6M to $4.3M
        Mar 29, 2019 to Apr 1, 2020
      • Financial planning clients · 11-25 to 1-10
        Mar 29, 2019 to Apr 1, 2020
      • Discretionary RAUM · $103M to $128M
        Mar 29, 2019 to Apr 1, 2020
      • HNW RAUM · $16.0M to $6.8M
        Mar 29, 2019 to Apr 1, 2020
      Signals
      4 dated events
      • Douglas Eugene Lindsey left Mgm Llc for The H Group, Inc. (registered 2023-06-29)
        Jun 11, 2024 · Advisor changed firm · fact
      • Mikki Ellen Burdine left Mgm Llc for The H Group, Inc. (registered 2025-09-30)
        Jun 11, 2024 · Advisor changed firm · fact
      • Michael Ray Albillar left Mgm Llc for The H Group, Inc. (registered 2023-06-29)
        Jun 11, 2024 · Advisor changed firm · fact
      • Mgm LLC's advisors moved to The H Group, Inc. (Albuquerque, NM): 3 of 3 registered, on the same day
        Jun 11, 2024 · Firm absorbed (people side) · derived
      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