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 Mar 29, 2018
First filing on the tape Nov 7, 2012 · 14 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$970M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.1B as of Mar 29, 2018
Mar 21, 2013$692M then
HNW client RAUM: $861M
State-registered IARs (5.B.3)11 as of Mar 29, 2018
Mar 21, 201311 then
Employees (5.A)22 as of Mar 29, 2018
Mar 21, 201319 then
Private funds: no history
RAUM +16% over the last fiscal year+7.3% a year over threeIARs 10 to 11
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
- RAUM per advisor
- $95.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $803,419derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%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 individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $397M, 154 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$861M82%
- Individuals$109M10%
- Charitable organizations$69.0M6.6%
- Corporations and businesses$12.0M1.1%
- Individual clients
- 242reported
- HNW clients
- 253reported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 1,308reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $397M for 154 clientsreported
- 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
- R••••• J••• D••••••• to M••••••Jul 3, 2018 · Other
- M•••• M•••••••• B•••••••• to M••••••Jul 3, 2018 · Other
- J••••• T••• W•••••• to M••••••Jul 3, 2018 · Other
- S•••• K•••• M•••••• R•••••••• to M••••••Jul 3, 2018 · Other
- D•••• M•••••• H••• to M••••••Jul 3, 2018 · Other
- M•••••• S•••• D••••••• to M••••••Jul 3, 2018 · Other
- F••••••• R•••••• B•••• to P•••• S••••••••• L••Apr 5, 2017 · Other
- A•••••• M• R•••• to R•••••••••May 9, 2016 · Other
- M•••••• S••••• M••••• to C•••••• A••••••• G••••Jun 16, 2014 · Other
Joined, latest
- F••••••• R•••••• B•••• from E•••• • Y•••• I••••••••• A••••••• L••Sep 20, 2016 · Other
- M•••• M•••••••• B•••••••• from R•••••••••Nov 4, 2015 · Other
- D•••• M•••••• H••• from B•••••• E••••Jun 28, 2013 · Other
- M•••••• S••••• M••••• from B•••••• E••••Dec 21, 2012 · Other
- R••••• J••• D••••••• from B•••••• E••••Dec 21, 2012 · Other
- M•••••• S•••• D••••••• from B•••••• E••••Dec 21, 2012 · Other
- A•••••• M• R•••• from B•••••• E••••Dec 21, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••• · Chief Strategy Officer / Chief Operating Officercontrolsince 09/2013 · owns less than 5%
- B•••••••• M•••••• C••••••••• · Chairmancontrolsince 10/2012 · owns less than 5%
- C••••••• R•••••• J• · Presidentcontrolsince 02/2015 · owns 10% to 25%
- D•••••••• R•••••• J••• · Chief Executive Officercontrolsince 01/2015 · owns 5% to 10%
- S••••• K••••••• D•••••• · Chief Investment Officercontrolsince 01/2018 · owns less than 5%
- B•••••••• M•••••• C••••••••• · Elected Managercontrolsince 04/2008 · owns F of B••••••• F••••• H•••••• C••••••• L••
- D•••••• A•••• J•••••• · Chief Compliance Officersince 01/2018 · owns less than 5%
- S••••••• K••••• L•••• · Vice President Of Operationssince 01/2016 · owns less than 5%
Entity owners
- M•••••• W••••• A•••••••• L•• · Managing Memberdirect · owns 50% to 75%
- 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•••••••• L••
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•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.8B
- M•••••• Wealthinvestment advisern
- 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•••••• S••••••••• 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
- Madison, NJ11 employees
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 1,197 to 1,308Mar 31, 2017 to Mar 29, 2018
- Advisory employees · 13 to 11Mar 31, 2017 to Mar 29, 2018
- BD registered reps · 2 to 1Mar 31, 2017 to Mar 29, 2018
- Charity clients · unset to 14.0Mar 31, 2017 to Mar 29, 2018
- Corporate clients · unset to 11.0Mar 31, 2017 to Mar 29, 2018
- HNW clients · unset to 253.0Mar 31, 2017 to Mar 29, 2018
- Individual clients · unset to 242.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $19.9M to $397MMar 31, 2017 to Mar 29, 2018
- Employees · 27 to 22Mar 31, 2017 to Mar 29, 2018
- Insurance-licensed employees · 9 to 11Mar 31, 2017 to Mar 29, 2018
- Financial planning clients · 251-500 to More than 500Mar 31, 2017 to Mar 29, 2018
- State-registered IARs · 10 to 11Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 3.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $907M to $1.1BMar 31, 2017 to Mar 29, 2018
- HNW RAUM · unset to 861122529.0Mar 31, 2017 to Mar 29, 2018
- Individual RAUM · unset to 108834765.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $907M to $1.1BMar 31, 2017 to Mar 29, 2018
- Accounts · 1,177 to 1,197Nov 23, 2016 to Mar 31, 2017
- Advisory employees · 9 to 13Nov 23, 2016 to Mar 31, 2017
- Advisory activities · 4 to 5Nov 23, 2016 to Mar 31, 2017
- BD registered reps · 1 to 2Nov 23, 2016 to Mar 31, 2017
- Assets in custody · $18.9M to $19.9MNov 23, 2016 to Mar 31, 2017
- Employees · 24 to 27Nov 23, 2016 to Mar 31, 2017
- Insurance-licensed employees · 1 to 9Nov 23, 2016 to Mar 31, 2017
- HQ city · LEAWOOD to OVERLAND PARKNov 23, 2016 to Mar 31, 2017
- State-registered IARs · 9 to 10Nov 23, 2016 to Mar 31, 2017
- Discretionary RAUM · $866M to $907MNov 23, 2016 to Mar 31, 2017
- RAUM · $866M to $907MNov 23, 2016 to Mar 31, 2017
- Accounts · 1,065 to 1,177Jul 24, 2015 to Mar 29, 2016
- Advisory employees · 10 to 9Jul 24, 2015 to Mar 29, 2016
- Assets in custody · $22.1M to $18.9MJul 24, 2015 to Mar 29, 2016
- Employees · 23 to 24Jul 24, 2015 to Mar 29, 2016
- Discretionary RAUM · $850M to $866MJul 24, 2015 to Mar 29, 2016
- RAUM · $850M to $866MJul 24, 2015 to Mar 29, 2016
- Business name · M•••••• W••••• A••••••••• L•• to M•••••• W••••• A•••••••Mar 26, 2015 to Jul 24, 2015
- Accounts · 974 to 1,065Jan 9, 2015 to Mar 26, 2015
- Advisory employees · 12 to 10Jan 9, 2015 to Mar 26, 2015
- Advisory activities · 3 to 4Jan 9, 2015 to Mar 26, 2015
- BD registered reps · 0 to 1Jan 9, 2015 to Mar 26, 2015
- Business name · B•••••• E••••• L•• to M•••••• W••••• A••••••••• L••Jan 9, 2015 to Mar 26, 2015
Signals
1 dated events
- B•••• L•• filed its initial SEC registration (Form ADV)Nov 7, 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