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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
M•••••••• W••••• A•••••••• I•••
Latest filing Aug 22, 2018
First filing on the tape Sep 19, 2016 · 9 filings
RAUM
$65.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$61.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$65.2M as of Mar 29, 2018
Feb 25, 2017$113M then
HNW client RAUM: $39.6M
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Feb 25, 20172 then
Employees (5.A)4 as of Mar 29, 2018
Feb 25, 20174 then
Private funds: no history
RAUM -42% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Aug 22, 2018; every figure names its basis
- RAUM per advisor
- $65.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $248,935derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -42%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%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 advisers, otherreportedItem 5.G
- Wrap fee program
- $65.2MreportedItem 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)
- 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$39.6M61%
- Individuals$21.5M33%
- Pension and profit-sharing plans$4.1M6.3%
- Individual clients
- 73reported
- HNW clients
- 34reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 262reported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- L••• M• L••••••• to A••••••••• F•••••••• S•••••••• L••Jun 15, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• S•••••••• to A••••••• W••••• M••••••••• L••Jan 30, 2018 · RIA to RIA
- D••••• S•••••• R••••••• to B••• D•••••• F•••••••• G••••• L••Nov 18, 2016 · Other
Joined, latest
- L••• M• L••••••• from I••••••••• M••••••••• • P••••••• L••Apr 1, 2009 · Other
- M•••••• J••••• S•••••••• from I••••••••• M••••••••• • P••••••• L••Mar 31, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• L•••• M• · President And Chief Compliance Officercontrolsince 01/2009 · 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
- Advisory activities · 3 to 5May 3, 2018 to Jul 25, 2018
- Employees · 4 to 3Mar 29, 2018 to May 3, 2018
- Accounts · 489 to 262Jan 30, 2018 to Mar 29, 2018
- Charity clients · 0.0 to unsetJan 30, 2018 to Mar 29, 2018
- Corporate clients · 0.0 to unsetJan 30, 2018 to Mar 29, 2018
- HNW clients · 33 to 34Jan 30, 2018 to Mar 29, 2018
- Individual clients · 79 to 73Jan 30, 2018 to Mar 29, 2018
- Pension plan clients · 13 to 7Jan 30, 2018 to Mar 29, 2018
- Pooled vehicle clients · 0.0 to unsetJan 30, 2018 to Mar 29, 2018
- Employees · 3 to 4Jan 30, 2018 to Mar 29, 2018
- Financial planning clients · 11-25 to 1-10Jan 30, 2018 to Mar 29, 2018
- Discretionary RAUM · $113M to $65.2MJan 30, 2018 to Mar 29, 2018
- HNW RAUM · $67.8M to $39.6MJan 30, 2018 to Mar 29, 2018
- Individual RAUM · $36.2M to $21.5MJan 30, 2018 to Mar 29, 2018
- Pension RAUM · $9.0M to $4.1MJan 30, 2018 to Mar 29, 2018
- Pooled vehicle RAUM · 0.0 to unsetJan 30, 2018 to Mar 29, 2018
- RAUM · $113M to $65.2MJan 30, 2018 to Mar 29, 2018
- Advisory employees · 2 to 1Feb 25, 2017 to Jan 30, 2018
- BD registered reps · 2 to 1Feb 25, 2017 to Jan 30, 2018
- Charity clients · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- Corporate clients · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- HNW clients · unset to 33.0Feb 25, 2017 to Jan 30, 2018
- Individual clients · unset to 79.0Feb 25, 2017 to Jan 30, 2018
- Pension plan clients · unset to 13.0Feb 25, 2017 to Jan 30, 2018
- Pooled vehicle clients · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- Employees · 4 to 3Feb 25, 2017 to Jan 30, 2018
- State-registered IARs · 2 to 1Feb 25, 2017 to Jan 30, 2018
- Other offices · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- HNW RAUM · unset to 67800000.0Feb 25, 2017 to Jan 30, 2018
- Individual RAUM · unset to 36160000.0Feb 25, 2017 to Jan 30, 2018
- Pension RAUM · unset to 9040000.0Feb 25, 2017 to Jan 30, 2018
- Pooled vehicle RAUM · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- Wrap assets (manager) · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- Wrap assets (sponsor) · unset to 0.0Feb 25, 2017 to Jan 30, 2018
- Accounts · 414 to 489Jan 31, 2017 to Feb 25, 2017
- Employees · 5 to 4Jan 31, 2017 to Feb 25, 2017
- Discretionary RAUM · $109M to $113MJan 31, 2017 to Feb 25, 2017
- RAUM · $109M to $113MJan 31, 2017 to Feb 25, 2017
Signals
1 dated events
- M•••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Sep 19, 2016 · 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