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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SEC-registered adviser
M••••• W••••• M•••••••••
Legal name M••••• W••••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jun 1, 2021 · 12 filings
SEC status approved since Jun 13, 2022
RAUM
$222M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
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$222M as of Mar 25, 2026
Mar 28, 2022$120M then
HNW client RAUM$135M as of Mar 25, 2026
Mar 28, 2022$80.0M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20221 then
Employees (5.A)6 as of Mar 25, 2026
Mar 28, 20225 then
Private funds: no history
RAUM +28% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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$135M61%
- Individuals$87.0M39%
- Individual clients
- 100reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 173reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• F••••••••• K• · President, Ccocontrolsince 01/2005 · 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 · 170 to 173Aug 4, 2025 to Mar 25, 2026
- Advisory employees · 1 to 2Aug 4, 2025 to Mar 25, 2026
- HNW clients · 70 to 73Aug 4, 2025 to Mar 25, 2026
- Discretionary RAUM · $173M to $222MAug 4, 2025 to Mar 25, 2026
- HNW RAUM · $123M to $135MAug 4, 2025 to Mar 25, 2026
- Individual RAUM · $50.0M to $87.0MAug 4, 2025 to Mar 25, 2026
- RAUM · $173M to $222MAug 4, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 101-250Jan 30, 2025 to May 23, 2025
- Accounts · 158 to 170Jul 31, 2024 to Jan 30, 2025
- HNW clients · 58 to 70Jul 31, 2024 to Jan 30, 2025
- Discretionary RAUM · $144M to $173MJul 31, 2024 to Jan 30, 2025
- HNW RAUM · $102M to $123MJul 31, 2024 to Jan 30, 2025
- Individual RAUM · $42.0M to $50.0MJul 31, 2024 to Jan 30, 2025
- RAUM · $144M to $173MJul 31, 2024 to Jan 30, 2025
- Accounts · 150 to 158Mar 16, 2023 to Feb 29, 2024
- HNW clients · 53 to 58Mar 16, 2023 to Feb 29, 2024
- Individual clients · 97 to 100Mar 16, 2023 to Feb 29, 2024
- State-registered IARs · 1 to 0Mar 16, 2023 to Feb 29, 2024
- Discretionary RAUM · $128M to $144MMar 16, 2023 to Feb 29, 2024
- HNW RAUM · $87.0M to $102MMar 16, 2023 to Feb 29, 2024
- Individual RAUM · $41.0M to $42.0MMar 16, 2023 to Feb 29, 2024
- RAUM · $128M to $144MMar 16, 2023 to Feb 29, 2024
- Accounts · 145 to 150May 17, 2022 to Mar 16, 2023
- HNW clients · 50 to 53May 17, 2022 to Mar 16, 2023
- Individual clients · 95 to 97May 17, 2022 to Mar 16, 2023
- Employees · 5 to 6May 17, 2022 to Mar 16, 2023
- Discretionary RAUM · $120M to $128MMay 17, 2022 to Mar 16, 2023
- HNW RAUM · $80.0M to $87.0MMay 17, 2022 to Mar 16, 2023
- Individual RAUM · $40.0M to $41.0MMay 17, 2022 to Mar 16, 2023
- RAUM · $120M to $128MMay 17, 2022 to Mar 16, 2023
- Accounts · 130 to 145Jun 15, 2021 to Mar 28, 2022
- HNW clients · 40 to 50Jun 15, 2021 to Mar 28, 2022
- Individual clients · 90 to 95Jun 15, 2021 to Mar 28, 2022
- Discretionary RAUM · $100M to $120MJun 15, 2021 to Mar 28, 2022
- HNW RAUM · $65.0M to $80.0MJun 15, 2021 to Mar 28, 2022
- Individual RAUM · $35.0M to $40.0MJun 15, 2021 to Mar 28, 2022
- RAUM · $100M to $120MJun 15, 2021 to Mar 28, 2022
Signals
1 dated events
- M••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 1, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@m•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 206-219-6699reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 206-441-1980reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-441-1980reportedpublic record, Form ADV, Mar 25, 2026
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
- Independent wealth managerderiveda 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