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••• L••• G•••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Apr 25, 2022
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$114M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$123M as of Mar 31, 2026
Mar 30, 2012$50.7M then
HNW client RAUM$100M as of Mar 31, 2026
Mar 24, 2023$72.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 24, 20232 then
Private funds2 as of Mar 31, 2026
Mar 24, 20232 then
RAUM +9.7% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $431,481derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M82%
- Individuals$13.8M11%
- Pooled investment vehicles$8.6M7.0%
- Individual clients
- 19reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 284reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.07 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• L•••• K••••Certified Financial Planner | Park City, Ut | Jul 30, 2012 | 35 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••••• L•••• K•••• from D••••••• W••••• M•••••••••Jul 30, 2012 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• V•••••• P••••••• L• • F• | Venture Capital Fund | $6.6M | 4 | Mar 25, 2022 |
| M•• V•••••• P••••••• L• • R• | Venture Capital Fund | $2.0M | 23 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- K••••• D••••••• L•••• · Managing Member Chief Compliance Officercontrolsince 08/2009 · owns 75% or more
Related persons
Schedule D 7.A
- M•• V•••••• P••••••• L•• • F•pooled vehicle sponsorn
- M•• V•••••• P••••••• L•• • R•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Conshohocken, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 274 to 284Jun 23, 2025 to Mar 31, 2026
- HNW clients · 39 to 41Jun 23, 2025 to Mar 31, 2026
- Individual clients · 16 to 19Jun 23, 2025 to Mar 31, 2026
- Employees · 2 to 3Jun 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $112M to $122MJun 23, 2025 to Mar 31, 2026
- HNW RAUM · $92.5M to $100MJun 23, 2025 to Mar 31, 2026
- Individual RAUM · $10.6M to $13.8MJun 23, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $175,606 to $65,153Jun 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.6M to $8.6MJun 23, 2025 to Mar 31, 2026
- RAUM · $112M to $123MJun 23, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 26-50Mar 31, 2025 to Jun 23, 2025
- Accounts · 253 to 274Mar 27, 2024 to Mar 31, 2025
- Individual clients · 17 to 16Mar 27, 2024 to Mar 31, 2025
- HQ city · unset to Mar 27, 2024 to Mar 31, 2025
- HQ state · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $103M to $112MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $83.2M to $92.5MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $11.1M to $10.6MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $175,606Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $8.6M to $8.6MMar 27, 2024 to Mar 31, 2025
- RAUM · $103M to $112MMar 27, 2024 to Mar 31, 2025
- Accounts · 231 to 253Oct 12, 2023 to Mar 27, 2024
- BD registered reps · 1 to 0Oct 12, 2023 to Mar 27, 2024
- HNW clients · 40 to 39Oct 12, 2023 to Mar 27, 2024
- Individual clients · 14 to 17Oct 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $91.1M to $103MOct 12, 2023 to Mar 27, 2024
- HNW RAUM · $72.1M to $83.2MOct 12, 2023 to Mar 27, 2024
- Individual RAUM · $10.3M to $11.1MOct 12, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $8.7M to $8.6MOct 12, 2023 to Mar 27, 2024
- RAUM · $91.1M to $103MOct 12, 2023 to Mar 27, 2024
- HQ city · CONSHOHOCKEN to unsetApr 29, 2023 to Jul 26, 2023
- HQ state · PA to unsetApr 29, 2023 to Jul 26, 2023
- Other offices · 0 to 1Apr 29, 2023 to Jul 26, 2023
- Accounts · 249 to 231Mar 30, 2022 to Mar 24, 2023
- HNW clients · 42 to 40Mar 30, 2022 to Mar 24, 2023
- Individual clients · 19 to 14Mar 30, 2022 to Mar 24, 2023
- Employees · 3 to 2Mar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $113M to $91.1MMar 30, 2022 to Mar 24, 2023
- HNW RAUM · $95.3M to $72.1MMar 30, 2022 to Mar 24, 2023
- Individual RAUM · $12.3M to $10.3MMar 30, 2022 to Mar 24, 2023
Signals
1 dated events
- M••• L••• G•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••• L••• G•••• W••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 610-643-3047reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-828-8288reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-828-8288reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- mlgwm.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026