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•••••• P•••••••• L••

Former SEC-registered adviserRichmond, VirginiaCRD 146383SEC 801-68819websiteIAPD
Latest filing Mar 31, 2025
First filing on the tape Apr 3, 2012 · 39 filings
SEC status approved since Feb 7, 2008
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$212M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$246M as of Mar 31, 2025
Apr 3, 2012$130M then
HNW client RAUM$136M as of Mar 31, 2025
Feb 6, 2018$67.8M then
State-registered IARs (5.B.3)2 as of Mar 31, 2025
Apr 3, 20120 then
Employees (5.A)4 as of Mar 31, 2025
Mar 22, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+2.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
RAUM per advisor
$123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.8MderivedHNW RAUM over HNW clients
Average account
$709,196derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+41%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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$136M55%
  • Individuals$76.6M31%
  • Corporations and businesses$34.0M14%
Individual clients
103reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
347reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
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
    • K••••••• P••• G•••••• · Chief Compliance Officercontrol
      since 07/2024 · owns less than 5%
    • M••••• M•••••• B•••• · Managing Membercontrol
      since 01/2008 · owns 50% to 75%
    • F••••••• R•••••• M•••••• · Director, Senior Consultant
      since 08/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Advisers that list M•••• C•••••• P•••••••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Richmond, Va · principal0021
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 286 to 347
      Jul 17, 2024 to Mar 31, 2025
    • Corporate clients · unset to 10.0
      Jul 17, 2024 to Mar 31, 2025
    • HNW clients · 51 to 20
      Jul 17, 2024 to Mar 31, 2025
    • Individual clients · 36 to 103
      Jul 17, 2024 to Mar 31, 2025
    • Assets in custody · 67765208.0 to unset
      Jul 17, 2024 to Mar 31, 2025
    • Custody of client assets · true to false
      Jul 17, 2024 to Mar 31, 2025
    • Financial planning clients · 51-100 to 51-100
      Jul 17, 2024 to Mar 31, 2025
    • Discretionary RAUM · $208M to $246M
      Jul 17, 2024 to Mar 31, 2025
    • HNW RAUM · $208M to $136M
      Jul 17, 2024 to Mar 31, 2025
    • Individual RAUM · $380,797 to $76.6M
      Jul 17, 2024 to Mar 31, 2025
    • RAUM · $208M to $246M
      Jul 17, 2024 to Mar 31, 2025
    • Related adviser · true to false
      Jul 17, 2024 to Mar 31, 2025
    • Related broker-dealer · true to false
      Jul 17, 2024 to Mar 31, 2025
    • Accounts · 332 to 286
      Sep 29, 2023 to Mar 28, 2024
    • Assets in custody · $31.9M to $67.8M
      Sep 29, 2023 to Mar 28, 2024
    • Discretionary RAUM · $195M to $208M
      Sep 29, 2023 to Mar 28, 2024
    • HNW RAUM · $187M to $208M
      Sep 29, 2023 to Mar 28, 2024
    • Individual RAUM · $8.4M to $380,797
      Sep 29, 2023 to Mar 28, 2024
    • RAUM · $195M to $208M
      Sep 29, 2023 to Mar 28, 2024
    • Accounts · 408 to 332
      Apr 15, 2022 to Mar 29, 2023
    • Charity clients · 0.0 to unset
      Apr 15, 2022 to Mar 29, 2023
    • HNW clients · 50 to 51
      Apr 15, 2022 to Mar 29, 2023
    • Individual clients · 40 to 36
      Apr 15, 2022 to Mar 29, 2023
    • Pooled vehicle clients · 0.0 to unset
      Apr 15, 2022 to Mar 29, 2023
    • Assets in custody · $34.2M to $31.9M
      Apr 15, 2022 to Mar 29, 2023
    • Discretionary RAUM · $228M to $195M
      Apr 15, 2022 to Mar 29, 2023
    • HNW RAUM · $216M to $187M
      Apr 15, 2022 to Mar 29, 2023
    • Individual RAUM · $10.4M to $8.4M
      Apr 15, 2022 to Mar 29, 2023
    • Pension RAUM · unset to 0.0
      Apr 15, 2022 to Mar 29, 2023
    • RAUM · $228M to $195M
      Apr 15, 2022 to Mar 29, 2023
    • Accounts · 456 to 408
      Feb 1, 2022 to Mar 28, 2022
    • Corporate clients · 0.0 to unset
      Feb 1, 2022 to Mar 28, 2022
    • HNW clients · 51 to 50
      Feb 1, 2022 to Mar 28, 2022
    • Individual clients · 49 to 40
      Feb 1, 2022 to Mar 28, 2022
    • Assets in custody · unset to 34247783.0
      Feb 1, 2022 to Mar 28, 2022
    • Custody of client assets · false to true
      Feb 1, 2022 to Mar 28, 2022
    • Financial planning clients · 0 to 51-100
      Feb 1, 2022 to Mar 28, 2022
    • State-registered IARs · 3 to 2
      Feb 1, 2022 to Mar 28, 2022
    • Other offices · 1 to 0
      Feb 1, 2022 to Mar 28, 2022
    • Discretionary RAUM · $203M to $228M
      Feb 1, 2022 to Mar 28, 2022
    Signals
    11 dated events
    • M•••• C•••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $246.1M)
      Feb 2, 2026 · Left the SEC roster · derived
    • R••••• M•••••• F•••••• left M•••• C•••••• P•••••••• L•• for B•••••••• F•••••••• A••••••• (registered 2025-10-01)
      Nov 10, 2025 · Advisor changed firm · fact
    • M••••• B•••• M•••• left M•••• C•••••• P•••••••• L•• for B•••••••• F•••••••• A••••••• (registered 2026-06-16)
      Nov 10, 2025 · Advisor changed firm · fact
    • 2 advisors left M•••• C•••••• P•••••••• L•• (Richmond, VA) for B•••••••• F•••••••• A••••••• on the same day
      Nov 10, 2025 · Team lift-out · derived
    • G•••••• Pia K•••••• (Chief Compliance Officer) appeared on Schedule A of M•••• C•••••• P•••••••• L••
      Jul 17, 2024 · Control person joined · fact
    • Cooper Ashleigh Swayze (Chief Compliance Officer) no longer on Schedule A of M•••• C•••••• P•••••••• L•• (listed 2024-04-03, absent 2024-07-17)
      Jul 17, 2024 · Control person left · inference
    • Cooper Ashleigh Swayze (Chief Compliance Officer) appeared on Schedule A of M•••• C•••••• P•••••••• L••
      Apr 15, 2022 · Control person joined · fact
    • David Louis Dworsky (Managing Member) no longer on Schedule A of M•••• C•••••• P•••••••• L•• (listed 2021-03-31, absent 2021-12-10)
      Dec 10, 2021 · Control person left · inference
    • Margaret Sarah Westbrook (Chief Compliance Officer) no longer on Schedule A of M•••• C•••••• P•••••••• L•• (listed 2020-01-07, absent 2020-03-10)
      Mar 10, 2020 · Control person left · inference
    • Margaret Sarah Westbrook (Chief Compliance Officer) appeared on Schedule A of M•••• C•••••• P•••••••• L••
      Mar 29, 2019 · Control person joined · fact
    • Charles Bryan Haft (Chief Compliance Officer) no longer on Schedule A of M•••• C•••••• P•••••••• L•• (listed 2019-01-18, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    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