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

W•••••••• W••••• A•••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 138891SEC 801-108479IAPD
Legal name M•••• C•••••• M••••••••• L••
Latest filing Jun 16, 2020
First filing on the tape Nov 23, 2011 · 17 filings
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$139M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$140M as of Mar 10, 2020
Jan 26, 2012$62.0M then
HNW client RAUM$129M as of Mar 10, 2020
Mar 29, 2018$99.6M then
State-registered IARs (5.B.3)4 as of Mar 10, 2020
Jan 26, 20120 then
Employees (5.A)5 as of Mar 10, 2020
Mar 29, 20184 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 2 to 4offices 1 to 0
Practice profile
derived from the filing of Jun 16, 2020; every figure names its basis
RAUM per advisor
$34.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM 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
4.0derived1 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
-37%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$129M92%
  • Individuals$9.7M6.9%
  • Corporations and businesses$1.0M0.7%
Individual clients
30reported
HNW clients
81reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
112reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    • F•••••• A•••••• M••••• · Managing Member, Chief Compliance Officercontrol
      since 10/2005 · 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
    • Advisory activities · 4 to 3
      Dec 6, 2019 to Mar 10, 2020
    • Discretionary RAUM · $141M to $140M
      Dec 6, 2019 to Mar 10, 2020
    • HNW RAUM · $130M to $129M
      Dec 6, 2019 to Mar 10, 2020
    • Individual RAUM · $9.5M to $9.7M
      Dec 6, 2019 to Mar 10, 2020
    • RAUM · $141M to $140M
      Dec 6, 2019 to Mar 10, 2020
    • Accounts · 114 to 112
      Jul 22, 2019 to Dec 6, 2019
    • Advisory employees · 2 to 4
      Jul 22, 2019 to Dec 6, 2019
    • HNW clients · 135 to 81
      Jul 22, 2019 to Dec 6, 2019
    • Individual clients · 40 to 30
      Jul 22, 2019 to Dec 6, 2019
    • Employees · 4 to 5
      Jul 22, 2019 to Dec 6, 2019
    • HQ city · LAKE OSWEGO to SAN FRANCISCO
      Jul 22, 2019 to Dec 6, 2019
    • HQ state · OR to CA
      Jul 22, 2019 to Dec 6, 2019
    • State-registered IARs · 2 to 4
      Jul 22, 2019 to Dec 6, 2019
    • Other offices · 1 to 0
      Jul 22, 2019 to Dec 6, 2019
    • Discretionary RAUM · $118M to $141M
      Jul 22, 2019 to Dec 6, 2019
    • HNW RAUM · $109M to $130M
      Jul 22, 2019 to Dec 6, 2019
    • Individual RAUM · $8.5M to $9.5M
      Jul 22, 2019 to Dec 6, 2019
    • Non-discretionary RAUM · $2.3M to $0
      Jul 22, 2019 to Dec 6, 2019
    • Pension RAUM · $2.3M to $0
      Jul 22, 2019 to Dec 6, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Jul 22, 2019 to Dec 6, 2019
    • RAUM · $120M to $141M
      Jul 22, 2019 to Dec 6, 2019
    • Accounts · 118 to 114
      May 23, 2018 to Mar 29, 2019
    • Corporate clients · 3.0 to unset
      May 23, 2018 to Mar 29, 2019
    • HNW clients · 79 to 135
      May 23, 2018 to Mar 29, 2019
    • Individual clients · 31 to 40
      May 23, 2018 to Mar 29, 2019
    • Pension plan clients · 5.0 to unset
      May 23, 2018 to Mar 29, 2019
    • Discretionary RAUM · $120M to $118M
      May 23, 2018 to Mar 29, 2019
    • HNW RAUM · $99.6M to $109M
      May 23, 2018 to Mar 29, 2019
    • Individual RAUM · $7.4M to $8.5M
      May 23, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $3.3M to $2.3M
      May 23, 2018 to Mar 29, 2019
    • Pension RAUM · $4.2M to $2.3M
      May 23, 2018 to Mar 29, 2019
    • RAUM · $123M to $120M
      May 23, 2018 to Mar 29, 2019
    • Accounts · 289 to 118
      Jul 21, 2017 to Mar 29, 2018
    • Corporate clients · unset to 3.0
      Jul 21, 2017 to Mar 29, 2018
    • HNW clients · unset to 79.0
      Jul 21, 2017 to Mar 29, 2018
    • Individual clients · unset to 31.0
      Jul 21, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 5.0
      Jul 21, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Jul 21, 2017 to Mar 29, 2018
    • Discretionary RAUM · $98.1M to $120M
      Jul 21, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 99600000.0
      Jul 21, 2017 to Mar 29, 2018
    Signals
    1 dated events
    • M•••• G••••• W••••• A••••••• filed its initial SEC registration (Form ADV)
      Sep 26, 2016 · 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