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•••••• W••••• A•••••••
Legal name M•••••• W••••• A••••••••• L••
Latest filing Jul 23, 2018
First filing on the tape Oct 8, 2012 · 28 filings
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$2.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
23 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.8B as of Mar 29, 2018
Mar 27, 2013$1.4B then
HNW client RAUM: $2.4B
State-registered IARs (5.B.3)16 as of Mar 29, 2018
Mar 27, 20136 then
Employees (5.A)37 as of Mar 29, 2018
Mar 27, 201318 then
Private funds: no history
RAUM +24% over the last fiscal year+13% a year over threeIARs 17 to 16
Practice profile
derived from the filing of Jul 23, 2018; every figure names its basis
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $825,388derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.9%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, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $387M, 126 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B84%
- Individuals$197M7.0%
- Corporations and businesses$171M6.1%
- Pension and profit-sharing plans$57.5M2.0%
- Charitable organizations$13.7M0.5%
- Individual clients
- 403reported
- HNW clients
- 647reported
- Pension plan clients
- 9reported
- Charitable clients
- 7reported
- Accounts
- 3,402reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $387M for 126 clientsreported
- 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
Left, latest
- V•••••• L•••••• N••••• to M••••••Nov 26, 2018 · Other
- J••• J•••••• K••••••••• to M••••••Nov 26, 2018 · Other
- B•••••• C••• P••••••• to M••••••Nov 26, 2018 · Other
- M•••••• P•••••• R•••••• to M••••••Nov 26, 2018 · Other
- A•••••• R•••••• to M••••••Nov 26, 2018 · Other
- P••••• F••••• T••••••• to M••••••Nov 26, 2018 · Other
- K•••••• A•• F•••••••• to M••••••Nov 26, 2018 · Other
- J••••••• A••• B•••••• to M••••••Nov 26, 2018 · Other
- L••• H•••• L••••••••• to M••••••Nov 26, 2018 · Other
- N•••• D• K•••••• to M••••••Nov 26, 2018 · Other
- B••• I•• M••••• to M••••••Nov 26, 2018 · Other
- M•••••• M••••••••• to M••••••Nov 26, 2018 · Other
- R••• L••• B•••• to M••••••Nov 26, 2018 · Other
- M•••••• J•••• R••• to M••••••Nov 26, 2018 · Other
- L•• J••••••• F••••••• to M••••••Nov 26, 2018 · Other
Joined, latest
- M•••••• J•••• R••• from B••••••••• S•••••••• W•••••• L••May 5, 2016 · Other
- N•••• D• K•••••• from F•••• T•••• S••••••••• I•••Feb 26, 2015 · Other
- J••• J•••••• K••••••••• from H••••••• L•••• C•••••• M••••••••• L••Sep 4, 2014 · Other
- B•••••• C••• P••••••• from W•••••••• W••••• M••••••••• L••Aug 28, 2014 · Other
- L••• H•••• L••••••••• from R••••••••• C•••••• M••••••••• I•••Feb 25, 2013 · Other
- M•••••• P•••••• R•••••• from R••••••••• C•••••• M••••••••• I•••Jan 4, 2013 · Other
- A•••••• R•••••• from R••••••••• C•••••• M••••••••• I•••Jan 4, 2013 · Other
- P••••• F••••• T••••••• from R••••••••• C•••••• M••••••••• I•••Jan 4, 2013 · Other
- R••• L••• B•••• from R••••••••• C•••••• M••••••••• I•••Jan 4, 2013 · Other
- V•••••• L•••••• N••••• from R••••••••• C•••••• M••••••••• I•••Jan 2, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••• · Chief Operating Officer/ Chief Strategy Officercontrolsince 09/2013 · owns less than 5%
- K••••••••• J•••• J•••••• · Chief Investment Strategistcontrolsince 07/2016 · owns less than 5%
- L••••••••• L•••• H•••• · Principalcontrolsince 10/2012 · owns less than 5%
- N•••••• V••••••• L•••••• · Principalcontrolsince 10/2012 · owns less than 5%
- B•••••••• M•••••• C••••••••• · Elected Managercontrolsince 07/2007 · owns F of B••••••• Family Holding Company, LLC
- D•••••• A•••• J•••••• · Chief Compliance Officersince 03/2018 · owns less than 5%
Entity owners
- M•••••• W••••• A••••••• · Managing Memberdirect · owns 75% or more
- B••••••• F••••• H•••••• C••• L•• · Managerindirect · owns 75% or more of M•••••• H•••••••• L••
- M•••••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of M•••••• W••••• A•••••••, LLC
Related persons
Schedule D 7.A
- A•••••• E•••••• L••investment adviserbankpooled vehicle sponsornRAUM $177M
- A••••• I••••••••• P•••••••• L••investment advisernRAUM $1.1B
- C••••••••• I••••••••• P•••••••• L••investment advisernRAUM $524M
- E••••••••• R••• S••••••••• L••real estaten
- F•••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $148M
- K••••• F•••••••• S••••••••• L••investment adviserLP sponsornRAUM $279M
- M•••••• C••••••••• L••insurancen
- M•••••• I••••••••• C••••••••• L••investment adviserLP sponsorn
- M•••••• I•••••••• R••••••••• L••real estaten
- M•••••• R••••••••• A•••••••• L••investment adviserLP sponsornRAUM $1.7B
- M•••••• T•••• C••••••• L••n
- M•••••• Wealthinvestment advisern
- M•••••• W••••• A•••••••investment adviserinsuranceLP sponsornRAUM $1.1B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $1.1B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.4B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $615M
- M••••••investment adviserinsurancepooled vehicle sponsorLP sponsoryRAUM $125B
- M•••• L••broker-dealern
- N••••• I••••••••• L••investment advisernRAUM $984M
- P••••• S••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $26B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $1.4B
Advisers that list M•••••• W••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH10 employees
- Indianapolis, IN3 employees
- Overland Park, KS1 employees
What changed
consecutive filings, newest first
- Business name · R••••••••• C•••••• M••••••••• L•• to M•••••• W••••• A•••••••Apr 2, 2018 to Jul 23, 2018
- Legal name · R••••••••• C•••••• M••••••••• L•• to M•••••• W••••• A••••••••• L••Mar 29, 2018 to Apr 2, 2018
- Accounts · 2,915 to 3,402Aug 25, 2017 to Mar 29, 2018
- Charity clients · unset to 7.0Aug 25, 2017 to Mar 29, 2018
- Corporate clients · unset to 22.0Aug 25, 2017 to Mar 29, 2018
- HNW clients · unset to 647.0Aug 25, 2017 to Mar 29, 2018
- Individual clients · unset to 403.0Aug 25, 2017 to Mar 29, 2018
- Pension plan clients · unset to 9.0Aug 25, 2017 to Mar 29, 2018
- Assets in custody · unset to 386722781.0Aug 25, 2017 to Mar 29, 2018
- Custody of client assets · false to trueAug 25, 2017 to Mar 29, 2018
- Employees · 35 to 37Aug 25, 2017 to Mar 29, 2018
- Insurance-licensed employees · 0 to 16Aug 25, 2017 to Mar 29, 2018
- State-registered IARs · 17 to 16Aug 25, 2017 to Mar 29, 2018
- Other offices · unset to 3.0Aug 25, 2017 to Mar 29, 2018
- Discretionary RAUM · $2.3B to $2.8BAug 25, 2017 to Mar 29, 2018
- HNW RAUM · unset to 2369575293.0Aug 25, 2017 to Mar 29, 2018
- Individual RAUM · unset to 196674898.0Aug 25, 2017 to Mar 29, 2018
- Pension RAUM · unset to 57497506.0Aug 25, 2017 to Mar 29, 2018
- RAUM · $2.3B to $2.8BAug 25, 2017 to Mar 29, 2018
- Accounts · 2,657 to 2,915Mar 9, 2017 to Mar 24, 2017
- Advisory employees · 22 to 23Mar 9, 2017 to Mar 24, 2017
- Employees · 32 to 35Mar 9, 2017 to Mar 24, 2017
- Discretionary RAUM · $2.1B to $2.3BMar 9, 2017 to Mar 24, 2017
- RAUM · $2.1B to $2.3BMar 9, 2017 to Mar 24, 2017
- Accounts · 2,093 to 2,657Jan 19, 2016 to Mar 2, 2016
- Advisory employees · 17 to 22Jan 19, 2016 to Mar 2, 2016
- Employees · 28 to 32Jan 19, 2016 to Mar 2, 2016
- State-registered IARs · 15 to 17Jan 19, 2016 to Mar 2, 2016
- Discretionary RAUM · $1.9B to $2.1BJan 19, 2016 to Mar 2, 2016
- RAUM · $1.9B to $2.1BJan 19, 2016 to Mar 2, 2016
- State-registered IARs · 6 to 15Jun 26, 2014 to Mar 27, 2015
- Discretionary RAUM · $1.6B to $1.9BJun 26, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $8.2M to $0Jun 26, 2014 to Mar 27, 2015
- RAUM · $1.6B to $1.9BJun 26, 2014 to Mar 27, 2015
- Accounts · 1,698 to 2,093Jun 26, 2014 to Mar 27, 2015
- Advisory employees · 11 to 17Jun 26, 2014 to Mar 27, 2015
- Advisory activities · 6 to 7Jun 26, 2014 to Mar 27, 2015
- Employees · 20 to 28Jun 26, 2014 to Mar 27, 2015
- Accounts · 1,418 to 1,698Nov 25, 2013 to Mar 21, 2014
- Advisory employees · 8 to 11Nov 25, 2013 to Mar 21, 2014
Signals
1 dated events
- R•••• L•• filed its initial SEC registration (Form ADV)Oct 8, 2012 · 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.
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