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•••• T••••• • C••

Former SEC-registered adviserSpartanburg, South CarolinaCRD 155378SEC 801-72073IAPD
Legal name M•••• T••••• • C••• I•••
Latest filing Sep 28, 2018
First filing on the tape Nov 23, 2011 · 15 filings
RAUM
$152M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
99%
$150M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$152M as of Dec 1, 2017
Jan 18, 2012$114M then
HNW client RAUM: $118M
State-registered IARs (5.B.3)3 as of Dec 1, 2017
Jan 18, 20120 then
Employees (5.A)4 as of Dec 1, 2017
Dec 18, 20123 then
Private funds: no history
RAUM +6.1% over the last fiscal year+2.2% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Sep 28, 2018; every figure names its basis
RAUM per advisor
$152MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
132derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.1%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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$118M78%
  • Individuals$32.1M21%
  • Pension and profit-sharing plans$1.1M0.8%
Individual clients
73reported
HNW clients
59reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
134reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• G•••• S•••••• · President And Chief Compliance Officercontrol
      since 09/2010 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 1
      Dec 1, 2017 to Sep 28, 2018
    • Employees · 4 to 1
      Dec 1, 2017 to Sep 28, 2018
    • State-registered IARs · 3 to 1
      Dec 1, 2017 to Sep 28, 2018
    • Accounts · 129 to 134
      Feb 21, 2017 to Dec 1, 2017
    • Advisory employees · 2 to 3
      Feb 21, 2017 to Dec 1, 2017
    • Charity clients · unset to 0.0
      Feb 21, 2017 to Dec 1, 2017
    • Corporate clients · unset to 0.0
      Feb 21, 2017 to Dec 1, 2017
    • HNW clients · unset to 59.0
      Feb 21, 2017 to Dec 1, 2017
    • Individual clients · unset to 73.0
      Feb 21, 2017 to Dec 1, 2017
    • Pension plan clients · unset to 2.0
      Feb 21, 2017 to Dec 1, 2017
    • Pooled vehicle clients · unset to 0.0
      Feb 21, 2017 to Dec 1, 2017
    • Other offices · unset to 0.0
      Feb 21, 2017 to Dec 1, 2017
    • Discretionary RAUM · $100M to $124M
      Feb 21, 2017 to Dec 1, 2017
    • HNW RAUM · unset to 118383596.0
      Feb 21, 2017 to Dec 1, 2017
    • Individual RAUM · unset to 32111187.0
      Feb 21, 2017 to Dec 1, 2017
    • Non-discretionary RAUM · $42.5M to $27.9M
      Feb 21, 2017 to Dec 1, 2017
    • Pension RAUM · unset to 1141128.0
      Feb 21, 2017 to Dec 1, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Feb 21, 2017 to Dec 1, 2017
    • RAUM · $143M to $152M
      Feb 21, 2017 to Dec 1, 2017
    • Accounts · 144 to 129
      Aug 24, 2016 to Jan 19, 2017
    • Employees · 3 to 4
      Aug 24, 2016 to Jan 19, 2017
    • State-registered IARs · 2 to 3
      Aug 24, 2016 to Jan 19, 2017
    • Discretionary RAUM · $81.0M to $100M
      Aug 24, 2016 to Jan 19, 2017
    • Non-discretionary RAUM · $69.4M to $42.5M
      Aug 24, 2016 to Jan 19, 2017
    • RAUM · $150M to $143M
      Aug 24, 2016 to Jan 19, 2017
    • Accounts · 131 to 144
      Dec 19, 2014 to Dec 17, 2015
    • Discretionary RAUM · $9.6M to $81.0M
      Dec 19, 2014 to Dec 17, 2015
    • Non-discretionary RAUM · $133M to $69.4M
      Dec 19, 2014 to Dec 17, 2015
    • RAUM · $142M to $150M
      Dec 19, 2014 to Dec 17, 2015
    • Accounts · 129 to 131
      Apr 1, 2014 to Dec 19, 2014
    • Discretionary RAUM · $9.2M to $9.6M
      Apr 1, 2014 to Dec 19, 2014
    • Non-discretionary RAUM · $120M to $133M
      Apr 1, 2014 to Dec 19, 2014
    • RAUM · $129M to $142M
      Apr 1, 2014 to Dec 19, 2014
    • Accounts · 417 to 129
      Nov 7, 2013 to Jan 3, 2014
    • Advisory activities · 4 to 3
      Nov 7, 2013 to Jan 3, 2014
    • Discretionary RAUM · $2.1M to $9.2M
      Nov 7, 2013 to Jan 3, 2014
    • Non-discretionary RAUM · $112M to $120M
      Nov 7, 2013 to Jan 3, 2014
    • RAUM · $114M to $129M
      Nov 7, 2013 to Jan 3, 2014
    • Accounts · 427 to 417
      Jun 22, 2012 to Dec 18, 2012
    • Advisory employees · unset to 2.0
      Jun 22, 2012 to Dec 18, 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