DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

M••••• F•••••••• G••••• L••

Former SEC-registered adviserNew Albany, IndianaCRD 149228SEC 801-79489IAPD
Latest filing Nov 8, 2018
First filing on the tape Mar 9, 2012 · 23 filings
RAUM
$236M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 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$236M as of Jan 5, 2018
Mar 9, 2012$68.9M then
HNW client RAUM: $139M
State-registered IARs (5.B.3)7 as of Jan 5, 2018
Mar 9, 20120 then
Employees (5.A)8 as of Jan 5, 2018
Mar 11, 201511 then
Private funds: no history
RAUM +27% over the last fiscal year+20% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Nov 8, 2018; every figure names its basis
RAUM per advisor
$29.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$210,490derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$212MreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$139M59%
  • Individuals$90.0M38%
  • Pension and profit-sharing plans$6.8M2.9%
  • Corporations and businesses$947,8810.4%
Individual clients
403reported
HNW clients
106reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
1,123reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
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
    • M•••••• G•••••• W••••• · Managing Member/Chief Compliance Officercontrol
      since 02/2009 · owns 75% or more
    • E•••••••• R•••• N••• · Managing Member
      since 09/2012 · owns 10% to 25%
    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
    • BD registered reps · 7 to 0
      Aug 20, 2018 to Nov 8, 2018
    • Advisory employees · 7 to 8
      Jun 6, 2018 to Jul 10, 2018
    • BD registered reps · 6 to 7
      Jun 6, 2018 to Jul 10, 2018
    • Employees · 8 to 9
      Jun 6, 2018 to Jul 10, 2018
    • State-registered IARs · 7 to 8
      Jun 6, 2018 to Jul 10, 2018
    • Accounts · 1,064 to 1,123
      Sep 26, 2017 to Jan 5, 2018
    • Advisory employees · 8 to 7
      Sep 26, 2017 to Jan 5, 2018
    • Corporate clients · unset to 5.0
      Sep 26, 2017 to Jan 5, 2018
    • HNW clients · unset to 106.0
      Sep 26, 2017 to Jan 5, 2018
    • Individual clients · unset to 403.0
      Sep 26, 2017 to Jan 5, 2018
    • Pension plan clients · unset to 6.0
      Sep 26, 2017 to Jan 5, 2018
    • Employees · 9 to 8
      Sep 26, 2017 to Jan 5, 2018
    • Financial planning clients · 51-100 to 0
      Sep 26, 2017 to Jan 5, 2018
    • State-registered IARs · 8 to 7
      Sep 26, 2017 to Jan 5, 2018
    • Other offices · unset to 0.0
      Sep 26, 2017 to Jan 5, 2018
    • Discretionary RAUM · $186M to $229M
      Sep 26, 2017 to Jan 5, 2018
    • HNW RAUM · unset to 138577277.0
      Sep 26, 2017 to Jan 5, 2018
    • Individual RAUM · unset to 90039662.0
      Sep 26, 2017 to Jan 5, 2018
    • Non-discretionary RAUM · $107,335 to $7.0M
      Sep 26, 2017 to Jan 5, 2018
    • Pension RAUM · unset to 6815186.0
      Sep 26, 2017 to Jan 5, 2018
    • RAUM · $186M to $236M
      Sep 26, 2017 to Jan 5, 2018
    • Related broker-dealer · true to false
      Sep 26, 2017 to Jan 5, 2018
    • Related insurance company · true to false
      Sep 26, 2017 to Jan 5, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 26, 2017 to Jan 5, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 26, 2017 to Jan 5, 2018
    • Advisory employees · 4 to 8
      Mar 13, 2017 to Sep 26, 2017
    • Advisory activities · 6 to 4
      Mar 13, 2017 to Sep 26, 2017
    • BD registered reps · 7 to 6
      Mar 13, 2017 to Sep 26, 2017
    • Related broker-dealer · false to true
      Mar 13, 2017 to Sep 26, 2017
    • Accounts · 1,099 to 1,064
      Aug 10, 2016 to Mar 13, 2017
    • Employees · 10 to 9
      Aug 10, 2016 to Mar 13, 2017
    • Financial planning clients · 1-10 to 51-100
      Aug 10, 2016 to Mar 13, 2017
    • Discretionary RAUM · $159M to $186M
      Aug 10, 2016 to Mar 13, 2017
    • Non-discretionary RAUM · $111,671 to $107,335
      Aug 10, 2016 to Mar 13, 2017
    • RAUM · $159M to $186M
      Aug 10, 2016 to Mar 13, 2017
    • Advisory employees · 5 to 4
      Mar 22, 2016 to Aug 10, 2016
    • BD registered reps · 10 to 7
      Mar 22, 2016 to Aug 10, 2016
    • Employees · 11 to 10
      Mar 22, 2016 to Aug 10, 2016
    • State-registered IARs · 9 to 8
      Mar 22, 2016 to Aug 10, 2016
    • Accounts · 1,024 to 1,099
      Sep 4, 2015 to Mar 22, 2016
    Signals
    1 dated events
    • M••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Mar 26, 2014 · 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.
    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