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

M•••••••• A••••••• G••••• L••

Former SEC-registered adviserWilmington, DelawareCRD 138768SEC 801-79723IAPD
Latest filing Jan 12, 2018
First filing on the tape Mar 27, 2012 · 12 filings
RAUM
$148M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
89%
$132M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$148M as of Jan 12, 2018
Mar 27, 2012$70.3M then
HNW client RAUM: $92.4M
State-registered IARs (5.B.3)2 as of Jan 12, 2018
Mar 27, 20120 then
Employees (5.A)3 as of Jan 12, 2018
Mar 24, 20153 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 12, 2018; every figure names its basis
RAUM per advisor
$74.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
107derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$422,227derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$92.4M62%
  • Individuals$40.0M27%
  • Pension and profit-sharing plans$15.8M11%
Individual clients
172reported
HNW clients
41reported
Pension plan clients
7reported
Charitable clients
0reported
Accounts
351reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • M••••••••• D•••••• M•••••• · Managing Member And Chief Compliance Officercontrol
      since 12/2005 · 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 · 338 to 351
      Mar 20, 2017 to Jan 12, 2018
    • Charity clients · unset to 0.0
      Mar 20, 2017 to Jan 12, 2018
    • Corporate clients · unset to 0.0
      Mar 20, 2017 to Jan 12, 2018
    • HNW clients · unset to 41.0
      Mar 20, 2017 to Jan 12, 2018
    • Individual clients · unset to 172.0
      Mar 20, 2017 to Jan 12, 2018
    • Pension plan clients · unset to 7.0
      Mar 20, 2017 to Jan 12, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 20, 2017 to Jan 12, 2018
    • Financial planning clients · 51-100 to 1-10
      Mar 20, 2017 to Jan 12, 2018
    • Other offices · unset to 0.0
      Mar 20, 2017 to Jan 12, 2018
    • Discretionary RAUM · $109M to $133M
      Mar 20, 2017 to Jan 12, 2018
    • HNW RAUM · unset to 92397346.0
      Mar 20, 2017 to Jan 12, 2018
    • Individual RAUM · unset to 39978151.0
      Mar 20, 2017 to Jan 12, 2018
    • Non-discretionary RAUM · $19.1M to $15.3M
      Mar 20, 2017 to Jan 12, 2018
    • Pension RAUM · unset to 15826089.0
      Mar 20, 2017 to Jan 12, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 20, 2017 to Jan 12, 2018
    • RAUM · $128M to $148M
      Mar 20, 2017 to Jan 12, 2018
    • Accounts · 266 to 338
      Mar 12, 2016 to Mar 7, 2017
    • Discretionary RAUM · $93.1M to $109M
      Mar 12, 2016 to Mar 7, 2017
    • Non-discretionary RAUM · $10.7M to $19.1M
      Mar 12, 2016 to Mar 7, 2017
    • RAUM · $104M to $128M
      Mar 12, 2016 to Mar 7, 2017
    • Accounts · 215 to 266
      Sep 30, 2015 to Mar 12, 2016
    • Financial planning clients · 101-250 to 51-100
      Sep 30, 2015 to Mar 12, 2016
    • Discretionary RAUM · $84.7M to $93.1M
      Sep 30, 2015 to Mar 12, 2016
    • Non-discretionary RAUM · $12.9M to $10.7M
      Sep 30, 2015 to Mar 12, 2016
    • RAUM · $97.6M to $104M
      Sep 30, 2015 to Mar 12, 2016
    • Advisory activities · 3 to 4
      Jul 21, 2015 to Sep 30, 2015
    • Accounts · 214 to 215
      Jul 16, 2014 to Mar 24, 2015
    • Advisory employees · 1 to 2
      Jul 16, 2014 to Mar 24, 2015
    • Employees · 5 to 3
      Jul 16, 2014 to Mar 24, 2015
    • State-registered IARs · 1 to 2
      Jul 16, 2014 to Mar 24, 2015
    • Discretionary RAUM · $87.9M to $84.7M
      Jul 16, 2014 to Mar 24, 2015
    • Non-discretionary RAUM · $13.7M to $12.9M
      Jul 16, 2014 to Mar 24, 2015
    • RAUM · $102M to $97.6M
      Jul 16, 2014 to Mar 24, 2015
    • Advisory employees · 2 to 1
      May 2, 2014 to Jul 16, 2014
    • BD registered reps · 2 to 1
      May 2, 2014 to Jul 16, 2014
    • Employees · 6 to 5
      May 2, 2014 to Jul 16, 2014
    • State-registered IARs · 2 to 1
      May 2, 2014 to Jul 16, 2014
    • Accounts · 193 to 214
      Aug 14, 2012 to May 2, 2014
    • Advisory employees · unset to 2.0
      Aug 14, 2012 to May 2, 2014
    • BD registered reps · unset to 2.0
      Aug 14, 2012 to May 2, 2014
    Signals
    1 dated events
    • M•••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      May 2, 2014 · 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