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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Former SEC-registered adviser
M••••••••• R•••• A••••••• S•••••••• L••
Latest filing Mar 19, 2015
First filing on the tape Dec 5, 2011 · 7 filings
RAUM
$194M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$194M as of Mar 19, 2015
Mar 28, 2012$120M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 19, 2015
Mar 28, 20120 then
Employees (5.A)10 as of Mar 19, 2015
Mar 22, 201310 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 19, 2015; every figure names its basis
- RAUM per advisor
- $19.4MderivedRAUM 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
- $383,513derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 505reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- 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
- C••• M••••• T••••••• to W•••• F•••• A•••••••Mar 9, 2016 · Other
- E•••••• H•••••• M•••••• to M••••••••• R•••• I••••••••• I•••Feb 16, 2016 · Other
- J•••••• M•••••• S••••••• to M••••••••• R•••• I••••••••• I•••Feb 16, 2016 · Other
- S•••• P•••••• M••••••••• to M••••••••• R•••• I••••••••• I•••Feb 16, 2016 · Other
- J••••• W••••• G••••••• to M••••••••• R•••• I••••••••• I•••Feb 16, 2016 · Other
- S•••••• M•••••• B••••• to W•••• F•••• A•••••••Jan 4, 2016 · Other
- L••••• B•••••••• to W•••• F•••• A•••••••Apr 9, 2012 · Other
Joined, latest
- J•••••• M•••••• S••••••• from C••••••• W••••• M••••••••• I•••Mar 19, 2012 · Other
- J••••• W••••• G••••••• from C••••••• W••••• M••••••••• I•••Mar 19, 2012 · Other
- E•••••• H•••••• M•••••• from C••••• • M•••••••• I•••Jul 1, 2011 · Other
- S•••• P•••••• M••••••••• from C••••• • M•••••••• I•••Jul 1, 2011 · Other
- S•••••• M•••••• B••••• from C••••• • M•••••••• I•••May 23, 2011 · Other
- C••• M••••• T••••••• from C••••• • M•••••••• I•••May 23, 2011 · Other
- L••••• B•••••••• from C••••• • M•••••••• I•••May 20, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M••••••••• R•••• I••••••••• I•••Feb 16, 2016 · Alexandria, Va · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• S••••• P•••••• · Presidentcontrolsince 04/2010 · owns 75% or more
Related persons
Schedule D 7.A
- M••••••••• R•••• I••••••••• I•••broker-dealeryRAUM $522M
- U•••• S••••• P••••••• L••investment advisernRAUM $86.3M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 461 to 505Jan 6, 2015 to Mar 19, 2015
- Discretionary RAUM · $153M to $164MJan 6, 2015 to Mar 19, 2015
- Non-discretionary RAUM · $19.5M to $29.3MJan 6, 2015 to Mar 19, 2015
- RAUM · $173M to $194MJan 6, 2015 to Mar 19, 2015
- Accounts · 407 to 461Mar 22, 2013 to Mar 27, 2014
- Advisory activities · 3 to 2Mar 22, 2013 to Mar 27, 2014
- Discretionary RAUM · $132M to $153MMar 22, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $18.0M to $19.5MMar 22, 2013 to Mar 27, 2014
- RAUM · $150M to $173MMar 22, 2013 to Mar 27, 2014
- Accounts · 325 to 407Mar 28, 2012 to Mar 22, 2013
- Advisory employees · unset to 10.0Mar 28, 2012 to Mar 22, 2013
- BD registered reps · unset to 10.0Mar 28, 2012 to Mar 22, 2013
- Employees · unset to 10.0Mar 28, 2012 to Mar 22, 2013
- Financial planning clients · 0 to 1-10Mar 28, 2012 to Mar 22, 2013
- State-registered IARs · 0 to 10Mar 28, 2012 to Mar 22, 2013
- Discretionary RAUM · $100M to $132MMar 28, 2012 to Mar 22, 2013
- Non-discretionary RAUM · $20.0M to $18.0MMar 28, 2012 to Mar 22, 2013
- RAUM · $120M to $150MMar 28, 2012 to Mar 22, 2013
- Accounts · 300 to 325Dec 5, 2011 to Mar 28, 2012
- Insurance-licensed employees · unset to 0.0Dec 5, 2011 to Mar 28, 2012
- Discretionary RAUM · $65.0M to $100MDec 5, 2011 to Mar 28, 2012
- Non-discretionary RAUM · $35.0M to $20.0MDec 5, 2011 to Mar 28, 2012
- RAUM · $100M to $120MDec 5, 2011 to Mar 28, 2012
- Related adviser · false to trueDec 5, 2011 to Mar 28, 2012
Signals
No event on the tape.
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