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••• • W•••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 10, 2019 · 29 filings
SEC status approved since Apr 10, 2019
RAUM
$803M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
56%
$453M individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$34.9M
derived; firm RAUM over IAPD count
Employees
42
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$803M as of Mar 24, 2026
Jan 21, 2020$131M then
HNW client RAUM$316M as of Mar 24, 2026
Jan 21, 2020$57.1M then
State-registered IARs (5.B.3)21 as of Mar 24, 2026
Jan 21, 202011 then
Employees (5.A)42 as of Mar 24, 2026
Jan 21, 202024 then
Private funds: no history
RAUM +35% over the last fiscal year+36% a year over threeIARs 18 to 21
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $34.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $918,950derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 23.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Financial planning clients
- 700reportedItem 5.H
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$351M44%
- High-net-worth individuals$316M39%
- Individuals$137M17%
- Individual clients
- 365reported
- HNW clients
- 110reported
- Pension plan clients
- 399reported
- Charitable clients
- n/areported
- Accounts
- 874reported
- Financial planning clients
- 700reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.56 fund_share=0.0 institutional_share=0.44 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••• W•••••Certified Financial Planner | Plano, Tx | Mar 5, 2010 | 20 y | 1 |
| J•••••• M•••••• M•••Certified Financial Planner | Plano, Tx | Mar 5, 2010 | 22 y | 2 |
| J•••• S•••••• L••• | Plano, Tx | Mar 5, 2010 | 20 y | 1 |
| M•••••• E••• B•••• | Plano, Tx | Jan 26, 2012 | 17 y | 1 |
| M•••• N••••• K•••••Certified Financial Planner | Plano, Tx | Jan 23, 2014 | 13 y | 0 |
| T••••• G••••• F••••••• | Plano, Tx | Mar 7, 2014 | 14 y | 0 |
| J•••••• G•••• M••••••• | Plano, Tx | Aug 26, 2016 | 11 y | 0 |
| C•••••• G••• B•••• | Plano, Tx | Jan 10, 2017 | 14 y | 0 |
| D••••• W••• N•••••Certified Financial Planner | Plano, Tx | Jul 19, 2017 | 11 y | 0 |
| J•••• W•••••• K••••Chartered Financial Analyst | Plano, Tx | May 12, 2020 | 14 y | 0 |
| G•••••• S•••••• H•••••••Certified Financial Planner | Plano, Tx | Nov 10, 2020 | 10 y | 0 |
| I•• A•••• E••••Certified Financial Planner | Plano, Tx | Feb 23, 2022 | 11 y | 0 |
| A•••••••• R••••• W•••••Certified Financial Planner | Plano, Tx | Jan 19, 2023 | 11 y | 0 |
| C••• C•••••••Certified Financial Planner | Plano, Tx | Jan 19, 2023 | 11 y | 0 |
| C•••••• M•••••• T•••Certified Financial Planner | Plano, Tx | Oct 19, 2023 | 13 y | 0 |
| M••••• C•••••• J••••••• L••• | Plano, Tx | Dec 22, 2023 | 13 y | 1 |
| J••••• D•••• | Plano, Tx | Jul 20, 2024 | 12 y | 0 |
| K••• W••••• | Plano, Tx | Sep 12, 2025 | 11 y | 0 |
| T••••• J••• F••••••Certified Financial Planner | Plano, Tx | Dec 23, 2025 | 10 y | 0 |
| S•••••• N•••• | Plano, Tx | Feb 28, 2026 | 11 y | 0 |
| K••• M•••••• S•••••••••Certified Financial Planner | Plano, Tx | Apr 3, 2026 | 10 y | 1 |
| E•••• J••••• H•••••Certified Financial Planner | Plano, Tx | Aug 20, 2026 | 10 y | 1 |
| N••••• T••• H•••••••Certified Financial Planner | Plano, Tx | Aug 30, 2026 | 11 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 4.3% of current headcount1 left over 36 months
Left, latest
- C•••• D•••••• B••••••• to S••••••••• F••••••••• I••Aug 28, 2026 · RIA to RIA
- M•••••• E••••• M•• to L•• F•••••••• L••Aug 30, 2023 · RIA to affiliated broker-dealer or bank
- B•••••• J• B••••• to T•• M••••• G••••• L••Jul 19, 2021 · RIA to RIA
- R••• B••••••• M••••• to S•••••• W••••• M•••••••••Jul 19, 2021 · RIA to RIA
Joined, latest
- E•••• J••••• H••••• from C•••••••Aug 20, 2026 · RIA to RIA
- K••• M•••••• S••••••••• from C•••••• S••••• • C••• I•••Apr 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••••• C•••••• J••••••• L••• from E••••• J••••Dec 22, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• E••• B•••• from C•••• W•••••• • A••••••••• L••Jan 26, 2012 · Other
- J•••••• M•••••• M••• from C•••• W•••••• • A••••••••• L••Mar 5, 2010 · Other
- J•••• S•••••• L••• from C•••• W•••••• • A••••••••• L••Mar 5, 2010 · Other
- M•••••• A•••• W••••• from C•••• W•••••• • A••••••••• L••Mar 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• J••••••• M•••••• · Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
- L•••• J••••• S•••••• · Membercontrolsince 11/2012 · owns 75% or more of L••• M••• L••
- M•••• J••••••• M•••••• · Membercontrolsince 11/2012 · owns 75% or more of M••• M••• L••
- W•••••• M••••••• A•••• · Membercontrolsince 11/2012 · owns 75% or more of W••••• M••• L••
Entity owners
- L••• M••• L•• · Memberdirect · owns 25% to 50%
- M••• M••• L•• · Memberdirect · owns 25% to 50%
- W••••• M••• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 23 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 24, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $595,179,000 to $803,162,000, advisors 18 to 21, private clients 492 to 475, offices 0 to 0 (2025-03-04 to 2026-03-24)peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Mar 24, 2026private-client share of RAUM moved from 100.0% to 56.0% between the annual amendments of 2025-03-04 and 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 78.0% to 39.0% between the annual amendments of 2025-03-04 and 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Mar 24, 2026institutional share of RAUM moved from 0.0% to 44.0% between the annual amendments of 2025-03-04 and 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 2,951.0 to 874.0 (-70.0%) between the annual amendments of 2025-03-04 and 2026-03-24; the peer median change was +6.0% (1256 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 2,951 to 874Oct 27, 2025 to Mar 24, 2026
- Advisory employees · 18 to 21Oct 27, 2025 to Mar 24, 2026
- HNW clients · 198 to 110Oct 27, 2025 to Mar 24, 2026
- Individual clients · 294 to 365Oct 27, 2025 to Mar 24, 2026
- Pension plan clients · unset to 399.0Oct 27, 2025 to Mar 24, 2026
- Employees · 35 to 42Oct 27, 2025 to Mar 24, 2026
- State-registered IARs · 18 to 21Oct 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $595M to $803MOct 27, 2025 to Mar 24, 2026
- HNW RAUM · $462M to $316MOct 27, 2025 to Mar 24, 2026
- Individual RAUM · $133M to $137MOct 27, 2025 to Mar 24, 2026
- Pension RAUM · unset to 350595000.0Oct 27, 2025 to Mar 24, 2026
- RAUM · $595M to $803MOct 27, 2025 to Mar 24, 2026
- Financial planning clients · More than 500 to More than 500May 22, 2025 to Jul 30, 2025
- Accounts · 1,867 to 2,951Nov 18, 2024 to Mar 4, 2025
- HNW clients · 153 to 198Nov 18, 2024 to Mar 4, 2025
- Individual clients · 265 to 294Nov 18, 2024 to Mar 4, 2025
- Employees · 36 to 35Nov 18, 2024 to Mar 4, 2025
- Discretionary RAUM · $436M to $595MNov 18, 2024 to Mar 4, 2025
- HNW RAUM · $302M to $462MNov 18, 2024 to Mar 4, 2025
- Individual RAUM · $133M to $133MNov 18, 2024 to Mar 4, 2025
- RAUM · $436M to $595MNov 18, 2024 to Mar 4, 2025
- Accounts · 1,571 to 1,867Feb 13, 2024 to Mar 21, 2024
- Advisory employees · 15 to 18Feb 13, 2024 to Mar 21, 2024
- HNW clients · 90 to 153Feb 13, 2024 to Mar 21, 2024
- Individual clients · 366 to 265Feb 13, 2024 to Mar 21, 2024
- Employees · 37 to 36Feb 13, 2024 to Mar 21, 2024
- State-registered IARs · 15 to 18Feb 13, 2024 to Mar 21, 2024
- Discretionary RAUM · $320M to $436MFeb 13, 2024 to Mar 21, 2024
- HNW RAUM · $122M to $302MFeb 13, 2024 to Mar 21, 2024
- Individual RAUM · $198M to $133MFeb 13, 2024 to Mar 21, 2024
- RAUM · $320M to $436MFeb 13, 2024 to Mar 21, 2024
- Accounts · 1,475 to 1,571Sep 5, 2022 to Feb 16, 2023
- Advisory employees · 13 to 15Sep 5, 2022 to Feb 16, 2023
- HNW clients · 76 to 90Sep 5, 2022 to Feb 16, 2023
- Individual clients · 880 to 366Sep 5, 2022 to Feb 16, 2023
- Employees · 31 to 37Sep 5, 2022 to Feb 16, 2023
- Financial planning clients · 251-500 to More than 500Sep 5, 2022 to Feb 16, 2023
- State-registered IARs · 13 to 15Sep 5, 2022 to Feb 16, 2023
- Discretionary RAUM · $299M to $320MSep 5, 2022 to Feb 16, 2023
- HNW RAUM · $138M to $122MSep 5, 2022 to Feb 16, 2023
Signals
8 dated events
- C•••• D•••••• B••••••• left M•••• L••• • W•••••• L•• for S••••••••• F••••••••• I•• (registered 2026-08-24)Aug 28, 2026 · Advisor changed firm · fact
- M•••• L••• • W•••••• L•• reported RAUM $803.2M, up 35% from $595.2M (2025-10-27 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- M•••• L••• • W•••••• L•• reported RAUM $595.2M, up 37% from $435.6M (2024-11-18 to 2025-03-04)Mar 4, 2025 · RAUM change · derived
- M•••• L••• • W•••••• L•• reported RAUM $435.6M, up 36% from $319.6M (2024-02-13 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- M•••••• E••••• M•• left M•••• L••• • W•••••• L•• for L•• F•••••••• L•• (registered 2023-12-12)Aug 30, 2023 · Advisor changed firm · fact
- M•••• L••• • W•••••• L•• reported RAUM $298.7M, up 53% from $195.6M (2021-08-23 to 2022-02-22)Feb 22, 2022 · RAUM change · derived
- Janine Stefanie Moss (Member) no longer on Schedule A of M•••• L••• • W•••••• L•• (listed 2020-06-25, absent 2020-10-01)Oct 1, 2020 · Control person left · inference
- M•••• L••• • W•••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 972-674-2584reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••://WWW.MLWFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-674-2584reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- mosslusewomble.com/our-peoplereportedpublished 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
- $34.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026