DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••••••• G•••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 143309SEC 801-67647IAPD
Latest filing Mar 1, 2023
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
83%
$3.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$124M gross assets
History
19 filings and snapshots on the tape
RAUM$3.9B as of Mar 31, 2022
Mar 30, 2012$1.4B then
HNW client RAUM$3.2B as of Mar 31, 2022
Mar 29, 2018$2.2B then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)21 as of Mar 31, 2022
Apr 1, 201311 then
Private funds3 as of Mar 31, 2022
Mar 30, 20122 then
RAUM +19% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$44.4MderivedHNW RAUM over HNW clients
Average account
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$7.0B, 118 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.2B83%
  • Charitable organizations$538M14%
  • Pooled investment vehicles$124M3.2%
  • Individuals$6.9M0.2%
Individual clients
22reported
HNW clients
73reported
Pension plan clients
n/areported
Charitable clients
24reported
Accounts
1,186reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$7.0B for 118 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••••• G•••• I••••••••• F••• S••••• L•• 2••• O••••••••• P••••••••no longer reportedOther Private Fund$379,70421Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• M••••••• B••••• · Chief Executive Officercontrol
        since 02/2007 · owns less than 5%
      • M•••••• S••••• M•••••• · Chief Investment Officercontrol
        since 11/2010 · owns less than 5%
      • N•••••••• L••••• T•••••• · Chief Compliance Officercontrol
        since 02/2023 · owns less than 5%
      • R•••••• C••••• J• · Chief Financial Officer And Chief Operating Officercontrol
        since 09/2015 · owns less than 5%
      Entity owners
      • C• P•••••• W•••••• L•• · Owner
        direct · owns 75% or more
      • C• F•••••••• C•••• · Owner
        indirect · owns 75% or more of C• U• H••••••• I•• · public reporting company
      • C• U• H••••••• I•• · Owner
        indirect · owns 75% or more of C••• H•••••••• L••
      • C••• H•••••••• L•• · Owner
        indirect · owns 75% or more of C• P•••••• W•••••• L••
      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 · 1,099 to 1,186
        Jan 10, 2022 to Mar 31, 2022
      • Charity clients · 23 to 24
        Jan 10, 2022 to Mar 31, 2022
      • HNW clients · 68 to 73
        Jan 10, 2022 to Mar 31, 2022
      • Individual clients · 17 to 22
        Jan 10, 2022 to Mar 31, 2022
      • Assets in custody · $5.1B to $7.0B
        Jan 10, 2022 to Mar 31, 2022
      • Discretionary RAUM · $2.4B to $2.7B
        Jan 10, 2022 to Mar 31, 2022
      • HNW RAUM · $2.7B to $3.2B
        Jan 10, 2022 to Mar 31, 2022
      • Individual RAUM · $5.7M to $6.9M
        Jan 10, 2022 to Mar 31, 2022
      • Non-discretionary RAUM · $911M to $1.2B
        Jan 10, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $116M to $124M
        Jan 10, 2022 to Mar 31, 2022
      • RAUM · $3.3B to $3.9B
        Jan 10, 2022 to Mar 31, 2022
      • Succession · true to false
        Jan 10, 2022 to Mar 31, 2022
      • Succession · false to true
        Dec 17, 2021 to Jan 10, 2022
      • Accounts · 969 to 1,099
        Jul 22, 2020 to Mar 31, 2021
      • Charity clients · 22 to 23
        Jul 22, 2020 to Mar 31, 2021
      • HNW clients · 65 to 68
        Jul 22, 2020 to Mar 31, 2021
      • Individual clients · 15 to 17
        Jul 22, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 4 to 3
        Jul 22, 2020 to Mar 31, 2021
      • Assets in custody · $2.8B to $5.1B
        Jul 22, 2020 to Mar 31, 2021
      • Private funds · 4 to 3
        Jul 22, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.1B to $2.4B
        Jul 22, 2020 to Mar 31, 2021
      • HNW RAUM · $2.4B to $2.7B
        Jul 22, 2020 to Mar 31, 2021
      • Individual RAUM · $3.8M to $5.7M
        Jul 22, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $886M to $911M
        Jul 22, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $118M to $116M
        Jul 22, 2020 to Mar 31, 2021
      • RAUM · $3.0B to $3.3B
        Jul 22, 2020 to Mar 31, 2021
      • Accounts · 849 to 969
        Mar 30, 2019 to Mar 26, 2020
      • HNW clients · 59 to 65
        Mar 30, 2019 to Mar 26, 2020
      • Assets in custody · $2.8B to $2.8B
        Mar 30, 2019 to Mar 26, 2020
      • Employees · 20 to 21
        Mar 30, 2019 to Mar 26, 2020
      • Discretionary RAUM · $1.5B to $2.1B
        Mar 30, 2019 to Mar 26, 2020
      • HNW RAUM · $2.1B to $2.4B
        Mar 30, 2019 to Mar 26, 2020
      • Individual RAUM · $3.6M to $3.8M
        Mar 30, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $1.0B to $886M
        Mar 30, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $106M to $118M
        Mar 30, 2019 to Mar 26, 2020
      • RAUM · $2.5B to $3.0B
        Mar 30, 2019 to Mar 26, 2020
      • Accounts · 737 to 849
        Mar 29, 2018 to Mar 30, 2019
      • Charity clients · 18 to 22
        Mar 29, 2018 to Mar 30, 2019
      • HNW clients · 55 to 59
        Mar 29, 2018 to Mar 30, 2019
      • Individual clients · 11 to 15
        Mar 29, 2018 to Mar 30, 2019
      Signals
      6 dated events
      • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of M•••••••• G•••• L••
        Mar 1, 2023 · Control person joined · fact
      • David Pierce Seth Leaptrot (Chief Compliance Officer) no longer on Schedule A of M•••••••• G•••• L•• (listed 2022-03-31, absent 2023-03-01)
        Mar 1, 2023 · Control person left · inference
      • M•••••••• G•••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 10, 2022 · Succession (Item 4) · fact
      • Michael Shaun Miller (Chief Investment Officer) appeared on Schedule A of M•••••••• G•••• L••
        Dec 17, 2021 · Control person joined · fact
      • Wendy Mccutchen (Member) no longer on Schedule A of M•••••••• G•••• L•• (listed 2021-03-31, absent 2021-10-12)
        Oct 12, 2021 · Control person left · inference
      • Wendy Mccutchen (Member) appeared on Schedule A of M•••••••• G•••• L••
        Mar 31, 2021 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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