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.
SEC-registered adviser
M3f, Inc.
Latest filing Mar 17, 2026
First filing on the tape Mar 27, 2012 · 18 filings
SEC status approved since Oct 8, 2009
RAUM
$778M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$389M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$778M as of Mar 17, 2026
Mar 27, 2012$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 27, 20120 then
Employees (5.A)6 as of Mar 17, 2026
Mar 18, 20133 then
Private funds1 as of Mar 17, 2026
Mar 27, 20121 then
RAUM +1.6% over the last fiscal year+5.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $389MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $778MderivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- 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
- Pooled investment vehicles$778M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Chester Waller | Salt Lake City, Ut | Dec 3, 2014 | 19 y | 0 |
| Jason Allen Stock | Salt Lake City, Ut | Jan 6, 2015 | 29 y | 1 |
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
- Jason Allen Stock from Strategic Advisers LLCJan 6, 2015 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M3 Partners, LP | Hedge Fund | $612M | 74 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Allen Jason Stock · Chief Compliance Officer, Managing Directorcontrolsince 06/2009 · owns 50% to 75%
- Chester William Waller · Managing Directorcontrolsince 06/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
- M3 Funds, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Mar 18, 2025 to Mar 17, 2026
- Employees · 5 to 6Mar 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $766M to $778MMar 18, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $766M to $778MMar 18, 2025 to Mar 17, 2026
- RAUM · $766M to $778MMar 18, 2025 to Mar 17, 2026
- Financial planning clients · unset to Aug 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $612M to $766MAug 26, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $612M to $766MAug 26, 2024 to Mar 18, 2025
- RAUM · $612M to $766MAug 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $658M to $612MMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $658M to $612MMar 29, 2023 to Mar 27, 2024
- RAUM · $658M to $612MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $595M to $658MSep 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $595M to $658MSep 29, 2022 to Mar 29, 2023
- RAUM · $595M to $658MSep 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $594M to $595MMar 22, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $594M to $595MMar 22, 2021 to Mar 25, 2022
- RAUM · $594M to $595MMar 22, 2021 to Mar 25, 2022
- Discretionary RAUM · $356M to $594MMar 30, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $356M to $594MMar 30, 2020 to Mar 22, 2021
- RAUM · $356M to $594MMar 30, 2020 to Mar 22, 2021
- Advisory employees · 4 to 5Mar 13, 2019 to Mar 30, 2020
- Employees · 4 to 5Mar 13, 2019 to Mar 30, 2020
- Discretionary RAUM · $344M to $356MMar 13, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $344M to $356MMar 13, 2019 to Mar 30, 2020
- RAUM · $344M to $356MMar 13, 2019 to Mar 30, 2020
- Discretionary RAUM · $324M to $344MMar 22, 2018 to Mar 13, 2019
- Pooled vehicle RAUM · $324M to $344MMar 22, 2018 to Mar 13, 2019
- RAUM · $324M to $344MMar 22, 2018 to Mar 13, 2019
- Advisory employees · 3 to 4Mar 27, 2017 to Mar 22, 2018
- Charity clients · unset to 0.0Mar 27, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 27, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 27, 2017 to Mar 22, 2018
- Individual clients · unset to 0.0Mar 27, 2017 to Mar 22, 2018
- Pension plan clients · unset to 0.0Mar 27, 2017 to Mar 22, 2018
- Pooled vehicle clients · unset to 1.0Mar 27, 2017 to Mar 22, 2018
- Employees · 3 to 4Mar 27, 2017 to Mar 22, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 22, 2018
- Discretionary RAUM · $336M to $324MMar 27, 2017 to Mar 22, 2018
- Pooled vehicle RAUM · unset to 323905382.0Mar 27, 2017 to Mar 22, 2018
Signals
2 dated events
- M3F, Inc. reported RAUM $766.2M, up 25% from $612.2M (2024-08-26 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- M3F, Inc. reported RAUM $593.9M, up 67% from $355.8M (2020-03-30 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- M3FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-246-9200reportedpublic record, Form ADV, Mar 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $389Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026