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•••• • C••••••
Legal name M•••• • C••• I•••
Latest filing Apr 24, 2018
First filing on the tape Dec 12, 2011 · 19 filings
RAUM
$608M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$374M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$608M as of Mar 29, 2018
Mar 30, 2012$422M then
HNW client RAUM: $334M
State-registered IARs (5.B.3)6 as of Mar 29, 2018
Apr 1, 20131 then
Employees (5.A)10 as of Mar 29, 2018
Apr 1, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+3.0% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Apr 24, 2018; every figure names its basis
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$334M55%
- Charitable organizations$115M19%
- Corporations and businesses$89.6M15%
- Individuals$40.8M6.7%
- Pension and profit-sharing plans$29.1M4.8%
- Individual clients
- 93reported
- HNW clients
- 115reported
- Pension plan clients
- 10reported
- Charitable clients
- 31reported
- Accounts
- 380reported
- Financial planning clients
- n/areported
- 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
Left, latest
- B•••• A••• B••••• to S••••••••• A•••••••• I•••May 20, 2019 · Other
- D•••• M••••• K••••••••• to S••••••••• A•••••••• I•••May 20, 2019 · Other
- M••••• C•••••••• M••••••••• to S••••••••• A•••••••• I•••May 20, 2019 · Other
- M••• I•••• A•••• to S••••••••• A•••••••• I•••Apr 29, 2019 · Other
Joined, latest
- B•••• A••• B••••• from W•••• F•••• A•••••••Nov 3, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S••••••••• A•••••••• I•••May 20, 2019 · Columbia, Sc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• M•••• I•••• · Chairman / Chief Executive Officercontrolsince 07/2010 · owns less than 5%
- H••••• H•••••• T••••••• · Secretary / Directorcontrolsince 07/2013 · owns less than 5%
- H•••• R••••••• M••••• · Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- R••••••••• K••••• S••••••• · Directorcontrolsince 07/2013 · owns less than 5%
Entity owners
- S•••• S•••• B••• · Direct Ownerdirect · owns 75% or more · public reporting company
- S•••• S•••• C••••••••• · Shareholderindirect · owns 75% or more of S•••• S•••• B••• · public reporting company
Related persons
Schedule D 7.A
- S••••••••• A•••••••• I•••investment adviserLP sponsornRAUM $3.8B
- S•••• S•••• B•••custodiany
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 2Mar 29, 2018 to Apr 24, 2018
- BD registered reps · 0 to 1Mar 29, 2018 to Apr 24, 2018
- State-registered IARs · 6 to 5Mar 29, 2018 to Apr 24, 2018
- Accounts · 367 to 380Aug 1, 2017 to Mar 29, 2018
- Charity clients · unset to 31.0Aug 1, 2017 to Mar 29, 2018
- Corporate clients · unset to 9.0Aug 1, 2017 to Mar 29, 2018
- HNW clients · unset to 115.0Aug 1, 2017 to Mar 29, 2018
- Individual clients · unset to 93.0Aug 1, 2017 to Mar 29, 2018
- Pension plan clients · unset to 10.0Aug 1, 2017 to Mar 29, 2018
- Employees · 11 to 10Aug 1, 2017 to Mar 29, 2018
- Insurance-licensed employees · 1 to 6Aug 1, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Aug 1, 2017 to Mar 29, 2018
- Discretionary RAUM · $552M to $608MAug 1, 2017 to Mar 29, 2018
- HNW RAUM · unset to 333544403.0Aug 1, 2017 to Mar 29, 2018
- Individual RAUM · unset to 40790224.0Aug 1, 2017 to Mar 29, 2018
- Pension RAUM · unset to 29142132.0Aug 1, 2017 to Mar 29, 2018
- RAUM · $552M to $608MAug 1, 2017 to Mar 29, 2018
- Related broker-dealer · true to falseAug 1, 2017 to Mar 29, 2018
- Advisory employees · 4 to 5Mar 22, 2016 to Mar 29, 2017
- Employees · 10 to 11Mar 22, 2016 to Mar 29, 2017
- State-registered IARs · 5 to 6Mar 22, 2016 to Mar 29, 2017
- Discretionary RAUM · $539M to $552MMar 22, 2016 to Mar 29, 2017
- RAUM · $539M to $552MMar 22, 2016 to Mar 29, 2017
- Accounts · 278 to 367Mar 22, 2016 to Mar 29, 2017
- Accounts · 304 to 278Nov 16, 2015 to Mar 22, 2016
- Employees · 9 to 10Nov 16, 2015 to Mar 22, 2016
- Insurance-licensed employees · 4 to 1Nov 16, 2015 to Mar 22, 2016
- Discretionary RAUM · $556M to $539MNov 16, 2015 to Mar 22, 2016
- RAUM · $556M to $539MNov 16, 2015 to Mar 22, 2016
- Advisory employees · 2 to 4Mar 27, 2015 to Nov 5, 2015
- Employees · 5 to 9Mar 27, 2015 to Nov 5, 2015
- Insurance-licensed employees · 0 to 4Mar 27, 2015 to Nov 5, 2015
- State-registered IARs · 1 to 5Mar 27, 2015 to Nov 5, 2015
- Accounts · 294 to 304Jul 1, 2014 to Mar 27, 2015
- Discretionary RAUM · $529M to $556MJul 1, 2014 to Mar 27, 2015
- RAUM · $529M to $556MJul 1, 2014 to Mar 27, 2015
- Accounts · 400 to 294Dec 20, 2013 to Mar 20, 2014
- Custody of client assets · true to falseDec 20, 2013 to Mar 20, 2014
- Discretionary RAUM · $487M to $529MDec 20, 2013 to Mar 20, 2014
- RAUM · $487M to $529MDec 20, 2013 to Mar 20, 2014
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