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
Mcmillen & Company, Inc.
Latest filing Mar 30, 2016
First filing on the tape Mar 20, 2012 · 12 filings
RAUM
$69.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$34.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$69.9M as of Mar 30, 2016
Mar 20, 2012$98.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Mar 20, 20120 then
Employees (5.A)3 as of Mar 30, 2016
Mar 28, 20133 then
Private funds: no history
RAUM -18% over the last fiscal year-13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
- RAUM per advisor
- $34.9MderivedRAUM 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
- $325,002derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%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 assetsreportedItem 5.E
- Advisory activities
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 215reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mike Mcmillen | Boise, Id | Jun 23, 2006 | 37 y | 3 |
| Samuel Benjamin Dotters-Katz | Boise, Id | Aug 14, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- Ronald Gambassi to Modern Wealth Management, LLCMay 11, 2026 · Other
- Brandee Lynn Schuelke to Helmstar Wealth ManagementOct 30, 2020 · Other
- Anthony Lawrence Baruffi to Garde Capital, Inc.Apr 20, 2015 · Other
Joined, latest
- Ronald Gambassi from Gem State Investment AdvisorsJan 4, 2024 · Other
- Anthony Lawrence Baruffi from Invesco Managed Accounts, LLCJan 10, 2014 · Other
- Brandee Lynn Schuelke from The Caprock Group, LLCJan 24, 2007 · Other
- Mike Mcmillen from The Caprock Group, LLCJun 23, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mike Mcmillen · Principal/Ownercontrolsince 05/2006 · owns 75% or more
- Lynn Brandee Schuelke · Chief Compliance Officercontrolsince 07/2006 · 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 |
|---|---|---|---|---|---|
| Boise, Id · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 243 to 215Aug 20, 2015 to Mar 30, 2016
- Discretionary RAUM · $85.4M to $69.9MAug 20, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $62,687 to $0Aug 20, 2015 to Mar 30, 2016
- RAUM · $85.5M to $69.9MAug 20, 2015 to Mar 30, 2016
- Accounts · 44 to 243Sep 26, 2014 to Mar 30, 2015
- Discretionary RAUM · $105M to $85.4MSep 26, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $240,000 to $62,687Sep 26, 2014 to Mar 30, 2015
- RAUM · $105M to $85.5MSep 26, 2014 to Mar 30, 2015
- Accounts · 48 to 44Jan 10, 2014 to Mar 21, 2014
- Discretionary RAUM · $105M to $105MJan 10, 2014 to Mar 21, 2014
- Non-discretionary RAUM · $224,400 to $240,000Jan 10, 2014 to Mar 21, 2014
- RAUM · $105M to $105MJan 10, 2014 to Mar 21, 2014
- Advisory employees · 2 to 3Mar 28, 2013 to Jan 10, 2014
- State-registered IARs · 2 to 3Mar 28, 2013 to Jan 10, 2014
- Advisory employees · unset to 2.0Mar 21, 2012 to Mar 28, 2013
- Employees · unset to 3.0Mar 21, 2012 to Mar 28, 2013
- State-registered IARs · 0 to 2Mar 21, 2012 to Mar 28, 2013
- Discretionary RAUM · $98.4M to $105MMar 21, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $218,000 to $224,400Mar 21, 2012 to Mar 28, 2013
- RAUM · $98.6M to $105MMar 21, 2012 to Mar 28, 2013
Signals
1 dated events
- Ronald Gambassi left Mcmillen & Company, Inc. for Modern Wealth Management, Llc (registered 2026-05-11)May 11, 2026 · Advisor changed firm · 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
- $34.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026