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
M•• W••••• M••••••••• I•••
Legal name M•• W••••• M••• I•••
Latest filing Mar 18, 2021
First filing on the tape Mar 29, 2012 · 23 filings
RAUM
$91.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$91.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$91.4M as of Mar 18, 2021
Mar 29, 2012$69.0M then
HNW client RAUM$86.1M as of Mar 18, 2021
Mar 26, 2018$69.4M then
State-registered IARs (5.B.3)1 as of Mar 18, 2021
Mar 29, 20120 then
Employees (5.A)1 as of Mar 18, 2021
Mar 22, 20131 then
Private funds: no history
RAUM +19% over the last fiscal year+8.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2021; every figure names its basis
- RAUM per advisor
- $91.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $573,719derivedHNW RAUM over HNW clients
- Average account
- $488,834derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$86.1M94%
- Individuals$5.3M5.8%
- Pension and profit-sharing plans$55,9440.1%
- Individual clients
- 36reported
- HNW clients
- 150reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 187reported
- Financial planning clients
- 0reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- R•••••• J• M••••• to J•••••• W••••• M••••••••• L••Dec 31, 2021 · RIA to RIA
Joined, latest
- R•••••• J• M••••• from C•••••••• G••••• M•••••• I•••Jul 20, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••••• J• · Ceo And Chief Compliance Officercontrolsince 07/2007 · 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
- HNW clients · 165 to 150Nov 23, 2020 to Mar 18, 2021
- Individual clients · 22 to 36Nov 23, 2020 to Mar 18, 2021
- Pension plan clients · unset to 1.0Nov 23, 2020 to Mar 18, 2021
- Discretionary RAUM · $77.0M to $91.4MNov 23, 2020 to Mar 18, 2021
- HNW RAUM · $74.5M to $86.1MNov 23, 2020 to Mar 18, 2021
- Individual RAUM · $2.5M to $5.3MNov 23, 2020 to Mar 18, 2021
- Pension RAUM · $30,000 to $55,944Nov 23, 2020 to Mar 18, 2021
- RAUM · $77.0M to $91.4MNov 23, 2020 to Mar 18, 2021
- Advisory activities · 2 to 1Jun 29, 2020 to Nov 23, 2020
- Individual RAUM · $2.5M to $2.5MJun 29, 2020 to Nov 23, 2020
- Pension RAUM · unset to 30000.0Jun 29, 2020 to Nov 23, 2020
- Legal name · M•• W••••• M••••••••• I••• to M•• W••••• M••• I•••Nov 23, 2020 to Nov 23, 2020
- Accounts · 180 to 187Mar 12, 2019 to Mar 30, 2020
- HNW clients · 160 to 165Mar 12, 2019 to Mar 30, 2020
- Individual clients · 20 to 22Mar 12, 2019 to Mar 30, 2020
- Discretionary RAUM · $74.0M to $77.0MMar 12, 2019 to Mar 30, 2020
- HNW RAUM · $72.0M to $74.5MMar 12, 2019 to Mar 30, 2020
- Individual RAUM · $2.0M to $2.5MMar 12, 2019 to Mar 30, 2020
- RAUM · $74.0M to $77.0MMar 12, 2019 to Mar 30, 2020
- Accounts · 225 to 180Aug 31, 2018 to Mar 12, 2019
- HNW clients · 150 to 160Aug 31, 2018 to Mar 12, 2019
- Discretionary RAUM · $72.0M to $74.0MAug 31, 2018 to Mar 12, 2019
- HNW RAUM · $69.4M to $72.0MAug 31, 2018 to Mar 12, 2019
- Individual RAUM · $2.6M to $2.0MAug 31, 2018 to Mar 12, 2019
- RAUM · $72.0M to $74.0MAug 31, 2018 to Mar 12, 2019
- Accounts · 205 to 225Jul 13, 2017 to Mar 26, 2018
- HNW clients · unset to 150.0Jul 13, 2017 to Mar 26, 2018
- Individual clients · unset to 20.0Jul 13, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Jul 13, 2017 to Mar 26, 2018
- Discretionary RAUM · $73.0M to $72.0MJul 13, 2017 to Mar 26, 2018
- HNW RAUM · unset to 69400000.0Jul 13, 2017 to Mar 26, 2018
- Individual RAUM · unset to 2600000.0Jul 13, 2017 to Mar 26, 2018
- RAUM · $73.0M to $72.0MJul 13, 2017 to Mar 26, 2018
- Accounts · 230 to 205Mar 21, 2016 to Mar 7, 2017
- Discretionary RAUM · $70.0M to $73.0MMar 21, 2016 to Mar 7, 2017
- RAUM · $70.0M to $73.0MMar 21, 2016 to Mar 7, 2017
- Accounts · 226 to 230Mar 23, 2015 to Mar 21, 2016
- Discretionary RAUM · $72.0M to $70.0MMar 23, 2015 to Mar 21, 2016
- RAUM · $72.0M to $70.0MMar 23, 2015 to Mar 21, 2016
- Accounts · 82 to 226Jan 2, 2015 to Mar 23, 2015
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