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•••••••••
Legal name M••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Nov 15, 2011 · 65 filings
SEC status approved since Sep 4, 2008
RAUM
$363M
reported, Item 5.F
Discretionary
5.7%
of RAUM
Private clients
100%
$363M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$363M as of Mar 30, 2026
Mar 14, 2012$0 then
HNW client RAUM$8.0M as of Mar 30, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 14, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 26, 20133 then
Private funds1 as of Mar 24, 2015
Mar 14, 20121 then
RAUM -25% over the last fiscal year-16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $760,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.7%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +49%derived
- Compensation
- percentage of assets, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, otherreportedItem 5.G
- Wrap fee program
- $20.7MreportedItem 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
- 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
- Individuals$355M98%
- High-net-worth individuals$8.0M2.2%
- Individual clients
- 476reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 477reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••••••• A•••••••• W•••••• | Chesterfield, Mo | Jul 6, 2016 | 32 y | 0 |
| R•••••• B•••• C••••• | Chesterfield, Mo | Apr 4, 2025 | 20 y | 2 |
| Y•••••• C••• | Chesterfield, Mo | Sep 19, 2025 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- A••••• D••••• to E•••••• F•••••••• E••••••Nov 3, 2025 · RIA to RIA
- R•••••• F••••• to E••••• J••••Jun 30, 2022 · RIA to affiliated broker-dealer or bank
- M••••••• J•• T•••••• to R•••••••• L••Aug 9, 2016 · Other
- S•••• S•••• B•••••• to R•••••••• L••Aug 9, 2016 · Other
Joined, latest
- R•••••• B•••• C••••• from E••••• J••••Apr 4, 2025 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••••••• L••Aug 9, 2016 · Chesterfield, Mo
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• M••••• P•••••••• L•••no longer reported | Venture Capital Fund | $6.0M | 69 | Mar 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W••••••• K••••••••• A•••••••• · Chief Compliance Officer/Chief Executive Officer/Presidentcontrolsince 01/2016 · owns less than 5%
- M•••••• K•••• E• · Membersince 12/2022 · owns 25% to 50% of 2•• V•••••••• L••
Entity owners
- S••• F•••••••• G••••• I••• · Ownerdirect · owns 75% or more
- 2•• V•••••••• L•• · Ownerindirect · owns 75% or more of S••• F•••••••• G••••• I•••
Related persons
Schedule D 7.A
- S••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chesterfield, Mo · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $485,640,168 to $362,985,152 (-25.0%) between the annual amendments of 2025-04-29 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.6% percentile
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 302.0 to 477.0 (+58.0%) between the annual amendments of 2025-04-29 and 2026-03-30; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 302 to 477Jan 13, 2026 to Mar 30, 2026
- Advisory employees · 5 to 4Jan 13, 2026 to Mar 30, 2026
- Individual clients · 320 to 476Jan 13, 2026 to Mar 30, 2026
- Employees · 7 to 6Jan 13, 2026 to Mar 30, 2026
- State-registered IARs · 5 to 4Jan 13, 2026 to Mar 30, 2026
- Discretionary RAUM · $20.8M to $20.7MJan 13, 2026 to Mar 30, 2026
- HNW RAUM · $9.1M to $8.0MJan 13, 2026 to Mar 30, 2026
- Individual RAUM · $477M to $355MJan 13, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $465M to $342MJan 13, 2026 to Mar 30, 2026
- RAUM · $486M to $363MJan 13, 2026 to Mar 30, 2026
- Advisory employees · 4 to 5Jul 30, 2025 to Oct 29, 2025
- Employees · 6 to 7Jul 30, 2025 to Oct 29, 2025
- Financial planning clients · 0 to 0Jul 30, 2025 to Oct 29, 2025
- State-registered IARs · 4 to 5Jul 30, 2025 to Oct 29, 2025
- Accounts · 334 to 302Jan 14, 2025 to Apr 29, 2025
- Advisory employees · 2 to 4Jan 14, 2025 to Apr 29, 2025
- BD registered reps · 2 to 3Jan 14, 2025 to Apr 29, 2025
- HNW clients · 2 to 1Jan 14, 2025 to Apr 29, 2025
- Individual clients · 332 to 320Jan 14, 2025 to Apr 29, 2025
- Employees · 4 to 6Jan 14, 2025 to Apr 29, 2025
- State-registered IARs · 2 to 4Jan 14, 2025 to Apr 29, 2025
- Discretionary RAUM · $19.9M to $20.8MJan 14, 2025 to Apr 29, 2025
- HNW RAUM · $10.2M to $9.1MJan 14, 2025 to Apr 29, 2025
- Individual RAUM · $546M to $477MJan 14, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $536M to $465MJan 14, 2025 to Apr 29, 2025
- RAUM · $556M to $486MJan 14, 2025 to Apr 29, 2025
- Accounts · 473 to 334Oct 9, 2023 to Mar 29, 2024
- HNW clients · 1 to 2Oct 9, 2023 to Mar 29, 2024
- Individual clients · 495 to 332Oct 9, 2023 to Mar 29, 2024
- Discretionary RAUM · $15.8M to $19.9MOct 9, 2023 to Mar 29, 2024
- HNW RAUM · $7.8M to $10.2MOct 9, 2023 to Mar 29, 2024
- Individual RAUM · $597M to $546MOct 9, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $589M to $536MOct 9, 2023 to Mar 29, 2024
- RAUM · $605M to $556MOct 9, 2023 to Mar 29, 2024
- Advisory employees · 1 to 2Jun 28, 2023 to Oct 9, 2023
- Employees · 3 to 4Jun 28, 2023 to Oct 9, 2023
- State-registered IARs · 1 to 2Jun 28, 2023 to Oct 9, 2023
- Accounts · 523 to 473Mar 24, 2022 to Mar 20, 2023
- HNW clients · 41 to 1Mar 24, 2022 to Mar 20, 2023
- Individual clients · 482 to 495Mar 24, 2022 to Mar 20, 2023
Signals
9 dated events
- Marketriders reported RAUM $363.0M, down 25% from $485.6M (2026-01-13 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- A••••• D••••• left Marketriders for E•••••• F•••••••• E•••••• (registered 2025-11-11)Nov 3, 2025 · Advisor changed firm · fact
- Wuchuan Jonathan Yao (Owner) no longer on Schedule A of Marketriders (listed 2023-03-31, absent 2023-05-25)May 25, 2023 · Control person left · inference
- Marketriders reported RAUM $604.9M, up 40% from $432.8M (2022-03-24 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- R•••••• F••••• left Marketriders for E••••• J•••• (registered 2023-04-23)Jun 30, 2022 · Advisor changed firm · fact
- Marketriders reported RAUM $432.8M, down 53% from $916.0M (2021-12-20 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- Brandon Mark Green (Chief Compliance Officer) no longer on Schedule A of Marketriders (listed 2021-01-13, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Brandon Mark Green (Chief Compliance Officer) appeared on Schedule A of MarketridersMar 13, 2019 · Control person joined · fact
- Nmn Zhuoqun Zhang (Chief Compliance Officer) no longer on Schedule A of Marketriders (listed 2019-02-21, absent 2019-03-13)Mar 13, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Marketriders · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 866-990-3837reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (866) 990-3837reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- marketriders.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026