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•• A•••••••• L••
Latest filing Mar 1, 2017
First filing on the tape Apr 26, 2012 · 6 filings
RAUM
$417M
reported, Item 5.F
Discretionary
100%
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
17
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$417M as of Mar 1, 2017
Apr 26, 2012$210M then
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 1, 2017
Apr 26, 20120 then
Employees (5.A)17 as of Mar 1, 2017
Mar 22, 201316 then
Private funds: no history
RAUM +24% over the last fiscal year+12% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Mar 1, 2017; every figure names its basis
- RAUM per advisor
- $26.1MderivedRAUM 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
- $231,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 1,800reported
- Financial planning clients
- 51-100reported
- 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
- B••• D•••••• L•• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- D•••••• M• R••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- D•••• J• W••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- A•• M•••• L•• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- J••••• M• M•••••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- L••• L••• B••••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- E••• C••••••••• T•••••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- D•••• G••••• B•••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- C•••••• R•••••• H•••••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- B•••• C•••••• M••••••• to W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Other
- R•••••• L••• S••••••• to R••••• W• B•••• • C•• I•••••••••Sep 8, 2017 · Other
- M•••••• J• S•••••• to R••••• W• B•••• • C•• I•••••••••Sep 8, 2017 · Other
Joined, latest
- J••••• M• M•••••• from G••••• S••••••••• I•••Mar 23, 2015 · Other
- B••• D•••••• L•• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- D•••••• M• R••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- D•••• J• W••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- A•• M•••• L•• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- L••• L••• B••••• from G••••• S••••••••• I•••Feb 28, 2011 · Other
- E••• C••••••••• T•••••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- M•••••• J• S•••••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- D•••• G••••• B•••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- C•••••• R•••••• H•••••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
- B•••• C•••••• M••••••• from S••••••• F•••••••• S•••••••• I•••Feb 28, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for W••••••• F•••••••• S•••••••• I•••Oct 30, 2017 · Brookfield, Wi · Firm absorbed
- 2 left for R••••• W• B•••• • C•• I•••••••••Sep 8, 2017 · Brookfield, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• L•••• L••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- M••••••• M••••••• L•••••• · Managing Membercontrolsince 02/2011 · owns less than 5%
- P•••••• T•••••• G••••• · Managing Membercontrolsince 02/2011 · owns less than 5%
- M••••••• M••••••• L•••••• · Ownercontrolsince 11/1982 · owns 50% to 75% of M••••••• P••••• • C••••••• I•••
- P•••••• T•••••• G••••• · Ownercontrolsince 11/1982 · owns 50% to 75% of M••••••• P••••• • C••••••• I•••
Entity owners
- M••••••• P••••• • C••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 1,700 to 1,800Mar 23, 2016 to Mar 1, 2017
- Discretionary RAUM · $336M to $417MMar 23, 2016 to Mar 1, 2017
- RAUM · $336M to $417MMar 23, 2016 to Mar 1, 2017
- Accounts · 1,604 to 1,700Mar 19, 2015 to Mar 23, 2016
- Discretionary RAUM · $334M to $336MMar 19, 2015 to Mar 23, 2016
- RAUM · $334M to $336MMar 19, 2015 to Mar 23, 2016
- Accounts · 1,474 to 1,604Mar 7, 2014 to Mar 19, 2015
- Advisory employees · 15 to 16Mar 7, 2014 to Mar 19, 2015
- BD registered reps · 15 to 16Mar 7, 2014 to Mar 19, 2015
- State-registered IARs · 15 to 16Mar 7, 2014 to Mar 19, 2015
- Discretionary RAUM · $296M to $334MMar 7, 2014 to Mar 19, 2015
- RAUM · $296M to $334MMar 7, 2014 to Mar 19, 2015
- Accounts · 1,337 to 1,474Mar 22, 2013 to Mar 7, 2014
- Advisory employees · 14 to 15Mar 22, 2013 to Mar 7, 2014
- Employees · 16 to 17Mar 22, 2013 to Mar 7, 2014
- State-registered IARs · 14 to 15Mar 22, 2013 to Mar 7, 2014
- Discretionary RAUM · $245M to $296MMar 22, 2013 to Mar 7, 2014
- RAUM · $245M to $296MMar 22, 2013 to Mar 7, 2014
- Accounts · 1,221 to 1,337Apr 26, 2012 to Mar 22, 2013
- Advisory employees · unset to 14.0Apr 26, 2012 to Mar 22, 2013
- BD registered reps · unset to 15.0Apr 26, 2012 to Mar 22, 2013
- Employees · unset to 16.0Apr 26, 2012 to Mar 22, 2013
- State-registered IARs · 0 to 14Apr 26, 2012 to Mar 22, 2013
- Discretionary RAUM · $210M to $245MApr 26, 2012 to Mar 22, 2013
- RAUM · $210M to $245MApr 26, 2012 to Mar 22, 2013
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