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••• C•••••• A•••••••
Legal name M•• I••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 12 filings
SEC status approved since Apr 29, 2024
RAUM
$290M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$290M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$58.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$290M as of Mar 31, 2026
Mar 29, 2012$31.0M then
HNW client RAUM$257M as of Mar 31, 2026
Mar 29, 2024$131M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 29, 20243 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 4 to 4
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
- RAUM per advisor
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $513,673derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%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 advisersreportedItem 5.G
- Wrap fee program
- $59.1MreportedItem 5.I
- Custody
- $26.3M, 35 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M89%
- Individuals$33.3M11%
- Charitable organizations$25,3450.0%
- Individual clients
- 176reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 565reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $26.3M for 35 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••••• B•••Certified Financial Planner | Cincinnati, Oh | Apr 20, 2011 | 23 y | 5 |
| K••• A• M•••• | Cincinnati, Oh | Apr 21, 2011 | 23 y | 1 |
| L••••• O•••••• B•• | Cincinnati, Oh | Apr 19, 2023 | 27 y | 1 |
| J•••• M• M•••••• | Summerton, Sc | Apr 29, 2024 | 12 y | 0 |
| T•••••• A• G•••Certified Financial Planner | Indianapolis, In | Aug 19, 2024 | 29 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T•••••• A• G••• from V•••• F•••••••• A•••••••• L••Aug 19, 2024 · RIA to RIA
- L••••• O•••••• B•• from T•• R••••••••• C••••••••• O• A••••••Apr 19, 2023 · Other
- K••• A• M•••• from R•••••••• P••••••• G•••• I••Apr 21, 2011 · Other
- M•••••• W•••••• B••• from O• I••••••••• M••••••••• C•Apr 20, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• M••••••• W•••••• · Chief Compliance Officercontrolsince 06/2010 · owns 50% to 75%
- M••••• K•••• A• · Membercontrolsince 06/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- M•• C••• • A•••••••insurancen
- T•• A•• W••••• P••••••• S••••••••• L••insurancereal estatey
- T•• M•••• • A••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-01, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 71.0% to 89.0% between the annual amendments of 2025-04-01 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 495 to 565Apr 1, 2025 to Mar 31, 2026
- HNW clients · 61 to 81Apr 1, 2025 to Mar 31, 2026
- Individual clients · 126 to 176Apr 1, 2025 to Mar 31, 2026
- Assets in custody · unset to 26312529.0Apr 1, 2025 to Mar 31, 2026
- Custody of client assets · false to trueApr 1, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 101-250Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $232M to $290MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $165M to $257MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $66.9M to $33.3MApr 1, 2025 to Mar 31, 2026
- RAUM · $232M to $290MApr 1, 2025 to Mar 31, 2026
- Charity clients · 4 to 1Nov 26, 2024 to Apr 1, 2025
- HNW clients · 203 to 61Nov 26, 2024 to Apr 1, 2025
- Individual clients · unset to 126.0Nov 26, 2024 to Apr 1, 2025
- Pension plan clients · 14.0 to unsetNov 26, 2024 to Apr 1, 2025
- Employees · 3 to 5Nov 26, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 51-100Nov 26, 2024 to Apr 1, 2025
- State-registered IARs · 3 to 4Nov 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $135M to $232MNov 26, 2024 to Apr 1, 2025
- HNW RAUM · $131M to $165MNov 26, 2024 to Apr 1, 2025
- Individual RAUM · unset to 66923390.0Nov 26, 2024 to Apr 1, 2025
- Pension RAUM · 2747950.0 to unsetNov 26, 2024 to Apr 1, 2025
- RAUM · $135M to $232MNov 26, 2024 to Apr 1, 2025
- Accounts · 445 to 495Nov 26, 2024 to Apr 1, 2025
- Advisory employees · 3 to 4Nov 26, 2024 to Apr 1, 2025
- Accounts · 357 to 445Mar 25, 2024 to Mar 29, 2024
- Accounts · 225 to 357Jun 18, 2012 to Mar 25, 2024
- Advisory employees · unset to 3.0Jun 18, 2012 to Mar 25, 2024
- BD registered reps · unset to 0.0Jun 18, 2012 to Mar 25, 2024
- Business name · M•• I••••••••• A•••••••• L•• to M••• C•••••• A•••••••Jun 18, 2012 to Mar 25, 2024
- Charity clients · unset to 4.0Jun 18, 2012 to Mar 25, 2024
- HNW clients · unset to 203.0Jun 18, 2012 to Mar 25, 2024
- Pension plan clients · unset to 14.0Jun 18, 2012 to Mar 25, 2024
- Commission compensation · true to falseJun 18, 2012 to Mar 25, 2024
- Employees · unset to 3.0Jun 18, 2012 to Mar 25, 2024
- State-registered IARs · 0 to 3Jun 18, 2012 to Mar 25, 2024
- Other offices · unset to 1.0Jun 18, 2012 to Mar 25, 2024
- Discretionary RAUM · $45.0M to $135MJun 18, 2012 to Mar 25, 2024
- HNW RAUM · unset to 131119451.0Jun 18, 2012 to Mar 25, 2024
- Pension RAUM · unset to 2747950.0Jun 18, 2012 to Mar 25, 2024
- RAUM · $45.0M to $135MJun 18, 2012 to Mar 25, 2024
Signals
1 dated events
- M••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Mar 25, 2024 · 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
- Website
- mbiateam.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-324-2201reportedpublic record, Form ADV, Mar 31, 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
- $58.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026