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
Minichmacgregor Wealth Management, LLC
Latest filing May 14, 2026
First filing on the tape Dec 20, 2011 · 49 filings
SEC status approved since Aug 20, 2009
RAUM
$723M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$660M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$90.4M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$723M as of May 14, 2026
Jan 17, 2012$84.3M then
HNW client RAUM$398M as of May 14, 2026
Feb 27, 2018$74.4M then
State-registered IARs (5.B.3)8 as of May 14, 2026
Jan 17, 20120 then
Employees (5.A)10 as of May 14, 2026
Jan 28, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+21% a year over threeIARs 7 to 8
Practice profile
derived from the filing of May 14, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $90.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $254,087derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$398M55%
- Individuals$262M36%
- Pension and profit-sharing plans$61.6M8.5%
- Corporations and businesses$1.3M0.2%
- Individual clients
- 711reported
- HNW clients
- 193reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 2,845reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Franklin Minich | Saratoga Springs, Ny | Feb 28, 2013 | 39 y | 0 |
| Jason Keith Macgregor | Saratoga Springs, Ny | Feb 5, 2014 | 32 y | 0 |
| Cory Lee LairdCertified Financial Planner | Saratoga Springs, Ny | Oct 12, 2017 | 10 y | 1 |
| Michele Anne Tellstone | Saratoga Springs, Ny | May 9, 2021 | 25 y | 3 |
| Patrick Joseph Younis | Saratoga Springs, Ny | May 9, 2021 | 22 y | 2 |
| Andrew John PallasCertified Financial Planner | Saratoga Springs, Ny | Nov 15, 2022 | 11 y | 3 |
| Hayden Thomas Labelle | Saratoga Springs, Ny | Apr 16, 2025 | 10 y | 0 |
| Brenton Wesley SmithCertified Financial Planner | Albany, Ny | Aug 26, 2025 | 14 y | 2 |
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 headcount1 left over 36 months
Left, latest
- Mark Joseph Landau to Quartz Partners Investment ManagementMar 27, 2025 · RIA to RIA
Joined, latest
- Brenton Wesley Smith from Private Advisor Group, LLCAug 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew John Pallas from LPL Financial LLCNov 15, 2022 · RIA to RIA
- Michele Anne Tellstone from Pks Advisory Services, LLCMay 9, 2021 · Other
- Patrick Joseph Younis from Eagle Strategies LLCMay 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- Mark Joseph Landau from Goldman Sachs Wealth Services, L.P.Jul 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- Cory Lee Laird from Park Avenue Securities LLCOct 12, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Keith Jason Macgregor · Managing Membercontrolsince 09/2009 · owns 50% to 75%
- Franklin James Minich · Managing Membercontrolsince 09/2009 · owns 50% to 75%
- Anne Michele Tellstone · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Spring Green, WI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,698 to 2,845Nov 13, 2025 to Mar 11, 2026
- HNW clients · 161 to 193Nov 13, 2025 to Mar 11, 2026
- Individual clients · 681 to 711Nov 13, 2025 to Mar 11, 2026
- Pension plan clients · 16 to 19Nov 13, 2025 to Mar 11, 2026
- State-registered IARs · 7 to 8Nov 13, 2025 to Mar 11, 2026
- Other offices · 3 to 2Nov 13, 2025 to Mar 11, 2026
- Discretionary RAUM · $630M to $723MNov 13, 2025 to Mar 11, 2026
- HNW RAUM · $322M to $398MNov 13, 2025 to Mar 11, 2026
- Individual RAUM · $250M to $262MNov 13, 2025 to Mar 11, 2026
- Pension RAUM · $57.1M to $61.6MNov 13, 2025 to Mar 11, 2026
- RAUM · $630M to $723MNov 13, 2025 to Mar 11, 2026
- Other offices · 2 to 3Apr 30, 2025 to Aug 27, 2025
- Financial planning clients · 251-500 to 251-500Feb 19, 2025 to Apr 30, 2025
- Accounts · 2,198 to 2,698Jan 15, 2025 to Feb 19, 2025
- Corporate clients · 6 to 5Jan 15, 2025 to Feb 19, 2025
- HNW clients · 123 to 161Jan 15, 2025 to Feb 19, 2025
- Individual clients · 658 to 681Jan 15, 2025 to Feb 19, 2025
- Pension plan clients · 19 to 16Jan 15, 2025 to Feb 19, 2025
- Employees · 9 to 10Jan 15, 2025 to Feb 19, 2025
- Discretionary RAUM · $501M to $630MJan 15, 2025 to Feb 19, 2025
- HNW RAUM · $228M to $322MJan 15, 2025 to Feb 19, 2025
- Individual RAUM · $222M to $250MJan 15, 2025 to Feb 19, 2025
- Pension RAUM · $48.7M to $57.1MJan 15, 2025 to Feb 19, 2025
- RAUM · $501M to $630MJan 15, 2025 to Feb 19, 2025
- Accounts · 2,380 to 2,198Oct 12, 2023 to Jan 30, 2024
- HNW clients · 93 to 123Oct 12, 2023 to Jan 30, 2024
- Individual clients · 655 to 658Oct 12, 2023 to Jan 30, 2024
- Financial planning clients · 51-100 to 251-500Oct 12, 2023 to Jan 30, 2024
- Discretionary RAUM · $406M to $501MOct 12, 2023 to Jan 30, 2024
- HNW RAUM · $159M to $228MOct 12, 2023 to Jan 30, 2024
- Individual RAUM · $204M to $222MOct 12, 2023 to Jan 30, 2024
- Pension RAUM · $41.3M to $48.7MOct 12, 2023 to Jan 30, 2024
- RAUM · $406M to $501MOct 12, 2023 to Jan 30, 2024
- Accounts · 2,364 to 2,380Nov 17, 2022 to Feb 18, 2023
- Advisory employees · 5 to 7Nov 17, 2022 to Feb 18, 2023
- Corporate clients · unset to 6.0Nov 17, 2022 to Feb 18, 2023
- HNW clients · 124 to 93Nov 17, 2022 to Feb 18, 2023
- Individual clients · 601 to 655Nov 17, 2022 to Feb 18, 2023
- Employees · 8 to 9Nov 17, 2022 to Feb 18, 2023
- State-registered IARs · 6 to 7Nov 17, 2022 to Feb 18, 2023
Signals
2 dated events
- Mark Joseph Landau left Minichmacgregor Wealth Management, Llc for Quartz Partners Investment Management (registered 2025-04-21)Mar 27, 2025 · Advisor changed firm · fact
- Minichmacgregor Wealth Management, Llc reported RAUM $630.0M, up 26% from $501.3M (2025-01-15 to 2025-02-19)Feb 19, 2025 · 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
- Business phone
- 518-499-4565reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-998-7331reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- MMWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (518) 499-4565reportedpublic record, Form ADV, May 14, 2026
- Team page
- mmwealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $90.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026