DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M•• A•••••••• L••
Latest filing Mar 12, 2026
First filing on the tape May 1, 2012 · 19 filings
SEC status approved since Jan 10, 2020
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$187M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$95.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$190M as of Mar 12, 2026
May 1, 2012$45.0M then
HNW client RAUM$103M as of Mar 12, 2026
Mar 31, 2020$30.2M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
May 1, 20120 then
Employees (5.A)2 as of Mar 12, 2026
Mar 31, 20202 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $95.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $512,976derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$103M54%
- Individuals$83.8M44%
- Pension and profit-sharing plans$3.5M1.8%
- Individual clients
- 71reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 371reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• J•• C•••••••• | Lutherville, Md | May 20, 2014 | 21 y | 1 |
| M•••••• J•••••• C•••••••• | Lutherville, Md | Nov 3, 2014 | 21 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
none on the tape
Joined, latest
- L•••••• J•• C•••••••• from C••••• S••••• S••••••••• •••• L••May 20, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• M••••••• J•••••• · Managing Member - President And Ceocontrolsince 07/2005 · owns 75% or more
- C••••••••• L••••••• J•• · Senior Vice President And Chief Compliance Officersince 12/2013 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lutherville, Md | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 346 to 371Mar 24, 2025 to Mar 12, 2026
- HNW clients · 10 to 12Mar 24, 2025 to Mar 12, 2026
- Individual clients · 77 to 71Mar 24, 2025 to Mar 12, 2026
- Discretionary RAUM · $171M to $190MMar 24, 2025 to Mar 12, 2026
- HNW RAUM · $81.2M to $103MMar 24, 2025 to Mar 12, 2026
- Individual RAUM · $86.8M to $83.8MMar 24, 2025 to Mar 12, 2026
- Pension RAUM · $3.0M to $3.5MMar 24, 2025 to Mar 12, 2026
- RAUM · $171M to $190MMar 24, 2025 to Mar 12, 2026
- Individual clients · 67 to 77Mar 21, 2024 to Mar 24, 2025
- Accounts · 333 to 346Mar 21, 2024 to Mar 24, 2025
- HNW clients · 8 to 10Mar 21, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 24, 2025
- HQ city · unset to Mar 21, 2024 to Mar 24, 2025
- HQ state · unset to Mar 21, 2024 to Mar 24, 2025
- Discretionary RAUM · $145M to $171MMar 21, 2024 to Mar 24, 2025
- HNW RAUM · $57.8M to $81.2MMar 21, 2024 to Mar 24, 2025
- Individual RAUM · $84.0M to $86.8MMar 21, 2024 to Mar 24, 2025
- Pension RAUM · $2.7M to $3.0MMar 21, 2024 to Mar 24, 2025
- RAUM · $145M to $171MMar 21, 2024 to Mar 24, 2025
- Accounts · 339 to 333Mar 23, 2023 to Mar 21, 2024
- Advisory activities · 3 to 2Mar 23, 2023 to Mar 21, 2024
- HNW clients · 5 to 8Mar 23, 2023 to Mar 21, 2024
- Individual clients · 70 to 67Mar 23, 2023 to Mar 21, 2024
- Discretionary RAUM · $133M to $145MMar 23, 2023 to Mar 21, 2024
- HNW RAUM · $36.4M to $57.8MMar 23, 2023 to Mar 21, 2024
- Individual RAUM · $94.3M to $84.0MMar 23, 2023 to Mar 21, 2024
- Pension RAUM · $2.5M to $2.7MMar 23, 2023 to Mar 21, 2024
- RAUM · $133M to $145MMar 23, 2023 to Mar 21, 2024
- Accounts · 336 to 339Dec 7, 2022 to Mar 23, 2023
- Individual clients · 69 to 70Dec 7, 2022 to Mar 23, 2023
- Discretionary RAUM · $143M to $133MDec 7, 2022 to Mar 23, 2023
- HNW RAUM · $42.3M to $36.4MDec 7, 2022 to Mar 23, 2023
- Individual RAUM · $98.0M to $94.3MDec 7, 2022 to Mar 23, 2023
- Pension RAUM · $2.7M to $2.5MDec 7, 2022 to Mar 23, 2023
- RAUM · $143M to $133MDec 7, 2022 to Mar 23, 2023
- Accounts · 320 to 336Aug 27, 2021 to Mar 23, 2022
- Individual clients · 68 to 69Aug 27, 2021 to Mar 23, 2022
- Discretionary RAUM · $126M to $143MAug 27, 2021 to Mar 23, 2022
- HNW RAUM · $37.6M to $42.3MAug 27, 2021 to Mar 23, 2022
- Individual RAUM · $86.1M to $98.0MAug 27, 2021 to Mar 23, 2022
Signals
1 dated events
- M•• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 12, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 410-458-4934reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $95.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026