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

Mullintbg Advisors

Former SEC-registered adviserIrvine, CaliforniaCRD 141445SEC 801-67161IAPD
Legal name Mullintbg Advisory Services, LLC
Latest filing Dec 17, 2015
First filing on the tape Mar 26, 2012 · 15 filings
RAUM
$425M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$425M as of Mar 26, 2015
Mar 26, 2012$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 26, 2015
Mar 26, 20136 then
Employees (5.A)15 as of Mar 26, 2015
Mar 26, 201315 then
Private funds: no history
RAUM +74% over the last fiscal year+34% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Dec 17, 2015; every figure names its basis
RAUM per advisor
$60.8MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+74%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
selection of other advisers, publications, educational seminars, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
372reported
Financial planning clients
0reported
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
    • Alan Brady Geissbuhler · Chief Operating Officercontrol
      since 06/2015 · owns less than 5%
    • Anthony Vincent Grillo · Presidentcontrol
      since 06/2015 · owns less than 5%
    • Edward Joseph Hess · Chief Compliance Officercontrol
      since 12/2015 · owns less than 5%
    • Wallace James Mcinnes · Chief Executive Officercontrol
      since 01/2015 · owns less than 5%
    • Anthony Michael Pignatella · Vice President, Corporate Counsel And Secretarycontrol
      since 11/2012 · owns less than 5%
    Entity owners
    • Mullintbg Insurance Agency Services, LLC · Managing Member
      direct · owns 75% or more
    • Mc Insurance Agency Services, LLC · Member
      indirect · owns 50% to 75% of Mullintbg Insurance Agency Services, LLC
    • Prudential Financial, Inc. · Member
      indirect · owns 75% or more of Prudential Holdings, LLC · public reporting company
    • Prudential Holdings, LLC · Shareholder
      indirect · owns 75% or more of The Prudential Insurance Company Of America
    • Prudential Retirement Holdings, LLC · Shareholder
      indirect · owns 75% or more of Tbg Insurance Services Corporation
    • Tbg Insurance Services Corporation · Member
      indirect · owns 50% to 75% of Mullintbg Insurance Agency Services, LLC
    • Prudential Retirement Holdings, LLC · Member
      indirect · owns 75% or more of Mc Insurance Agency Services, LLC · public reporting company
    • The Prudential Insurance Company Of America · Member
      indirect · owns 75% or more of Prudential Retirement Holdings, LLC · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Deerfield, IL
    • El Segundo, CA
    What changed
    consecutive filings, newest first
    • Accounts · 310 to 372
      Feb 23, 2015 to Mar 26, 2015
    • Advisory employees · 9 to 10
      Feb 23, 2015 to Mar 26, 2015
    • State-registered IARs · 8 to 7
      Feb 23, 2015 to Mar 26, 2015
    • Discretionary RAUM · $240M to $382M
      Feb 23, 2015 to Mar 26, 2015
    • Non-discretionary RAUM · $5.0M to $43.0M
      Feb 23, 2015 to Mar 26, 2015
    • RAUM · $245M to $425M
      Feb 23, 2015 to Mar 26, 2015
    • Accounts · 205 to 310
      Nov 20, 2013 to Mar 26, 2014
    • State-registered IARs · 6 to 8
      Nov 20, 2013 to Mar 26, 2014
    • Discretionary RAUM · $110M to $240M
      Nov 20, 2013 to Mar 26, 2014
    • Non-discretionary RAUM · $3.9M to $5.0M
      Nov 20, 2013 to Mar 26, 2014
    • RAUM · $114M to $245M
      Nov 20, 2013 to Mar 26, 2014
    • Accounts · 304 to 205
      Nov 27, 2012 to Mar 26, 2013
    • Advisory employees · 11 to 9
      Nov 27, 2012 to Mar 26, 2013
    • Advisory activities · 6 to 4
      Nov 27, 2012 to Mar 26, 2013
    • BD registered reps · 15 to 12
      Nov 27, 2012 to Mar 26, 2013
    • Employees · 19 to 15
      Nov 27, 2012 to Mar 26, 2013
    • Financial planning clients · 51-100 to 0
      Nov 27, 2012 to Mar 26, 2013
    • State-registered IARs · 9 to 6
      Nov 27, 2012 to Mar 26, 2013
    • Discretionary RAUM · $153M to $110M
      Nov 27, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $24.4M to $3.9M
      Nov 27, 2012 to Mar 26, 2013
    • RAUM · $178M to $114M
      Nov 27, 2012 to Mar 26, 2013
    • Advisory employees · unset to 11.0
      Jul 26, 2012 to Nov 14, 2012
    • BD registered reps · unset to 15.0
      Jul 26, 2012 to Nov 14, 2012
    • Employees · unset to 19.0
      Jul 26, 2012 to Nov 14, 2012
    • State-registered IARs · unset to 9.0
      Jul 26, 2012 to Nov 14, 2012
    • HQ city · NEWPORT BEACH to IRVINE
      Mar 26, 2012 to Jul 26, 2012
    Signals
    No event on the tape.
    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