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•••••••
Legal name M•• A••••••• S••••••• L••
Latest filing Mar 21, 2019
First filing on the tape Nov 25, 2013 · 17 filings
RAUM
$70.9M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
74%
$52.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$70.9M as of Mar 21, 2019
Mar 9, 2016$203M then
HNW client RAUM$24.9M as of Mar 21, 2019
Mar 26, 2018$220M then
State-registered IARs (5.B.3)16 as of Mar 21, 2019
Mar 9, 201620 then
Employees (5.A)16 as of Mar 21, 2019
Mar 9, 201620 then
Private funds: no history
RAUM -80% over the last fiscal year-30% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
- RAUM per advisor
- $4.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $414,463derivedHNW RAUM over HNW clients
- Average account
- $157,577derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -80%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -57%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $19.8MreportedItem 5.I
- Custody
- $2.7M, 30 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$27.3M39%
- High-net-worth individuals$24.9M35%
- Pension and profit-sharing plans$16.3M23%
- Insurance companies$1.8M2.6%
- Charitable organizations$537,7310.8%
- Corporations and businesses$61,2560.1%
- Individual clients
- 238reported
- HNW clients
- 60reported
- Pension plan clients
- 13reported
- Charitable clients
- 5reported
- Accounts
- 450reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $14.3M sponsored, $0 managedreported
- Custody of client assets
- $2.7M for 30 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- M••••• J•••••• C•••••• to K••••• A••••••• S•••••••• L••May 7, 2019 · RIA to affiliated broker-dealer or bank
- J••• G••••• K••••• to K••••• A••••••• S•••••••• L••May 7, 2019 · RIA to affiliated broker-dealer or bank
- J•• G••••• C••••• to K••••• A••••••• S•••••••• L••May 7, 2019 · RIA to affiliated broker-dealer or bank
- T••••• P•••••• F•••••• to K••••• A••••••• S•••••••• L••May 7, 2019 · RIA to affiliated broker-dealer or bank
- F•••• P•••••• H••• to K••••• A••••••• S•••••••• L••May 7, 2019 · RIA to affiliated broker-dealer or bank
- N•••••••• D•••• M•••••• to K••••• A••••••• S•••••••• L••Mar 11, 2019 · RIA to affiliated broker-dealer or bank
- B•••• W• R••••• to I••••••••• F•••••••• P•••••••Jan 25, 2016 · Other
Joined, latest
- J•• G••••• C••••• from C•••••• A•••• M••••••••• L••Dec 3, 2014 · Other
- B•••• W• R••••• from L•• F•••••••• L••May 7, 2014 · Other
- M••••• J•••••• C•••••• from L•• F•••••••• L••May 2, 2014 · Other
- N•••••••• D•••• M•••••• from L•• F•••••••• L••May 2, 2014 · Other
- J••• G••••• K••••• from L•• F•••••••• L••May 1, 2014 · Other
- T••••• P•••••• F•••••• from L•• F•••••••• L••May 1, 2014 · Other
- F•••• P•••••• H••• from L•• F•••••••• L••Apr 30, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for K••••• A••••••• S•••••••• L••May 7, 2019 · Louisville, Ky · Firm absorbed
- 2 joined from L•• F•••••••• L••Sep 7, 2016 · Louisville, Ky
- 2 joined from L•• F•••••••• L••Feb 3, 2016 · Lexington, Ky
- 2 joined from L•• F•••••••• L••Dec 3, 2015 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••• G••••• · Chief Compliance Officercontrolsince 07/2018 · owns less than 5%
- M•••••• D••••• B•••••• · Partnercontrolsince 03/2010 · owns 25% to 50% of M•••••••• H••••••• L••
- C••••••• M•••••• J•••••• · Membersince 01/2009 · owns 5% to 10%
- F••••••• T•••••• P•••••• · Membersince 01/2005 · owns 5% to 10%
- H•••• F••••• P•••••• · Membersince 01/2009 · owns 5% to 10%
- K•••••• J•••• G••••• · Chief Operating Officersince 02/2010 · owns 10% to 25%
Entity owners
- M•••••••• H••••••• L•• · Domestic Entitydirect · owns 50% to 75%
Related persons
Schedule D 7.A
- M•••••••• C••••••••• L••insurancey
- M••••••• C•••••• M••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
- Jeffersonville, IN3 employees
- Lexington, KY1 employees
What changed
consecutive filings, newest first
- Accounts · 966 to 450Oct 2, 2018 to Mar 21, 2019
- Charity clients · 7 to 5Oct 2, 2018 to Mar 21, 2019
- HNW clients · 78 to 60Oct 2, 2018 to Mar 21, 2019
- Individual clients · 608 to 238Oct 2, 2018 to Mar 21, 2019
- Pension plan clients · 10 to 13Oct 2, 2018 to Mar 21, 2019
- Assets in custody · $40.0M to $2.7MOct 2, 2018 to Mar 21, 2019
- Discretionary RAUM · $61.6M to $62.2MOct 2, 2018 to Mar 21, 2019
- HNW RAUM · $220M to $24.9MOct 2, 2018 to Mar 21, 2019
- Individual RAUM · $106M to $27.3MOct 2, 2018 to Mar 21, 2019
- Non-discretionary RAUM · $298M to $8.7MOct 2, 2018 to Mar 21, 2019
- Pension RAUM · $10.0M to $16.3MOct 2, 2018 to Mar 21, 2019
- RAUM · $360M to $70.9MOct 2, 2018 to Mar 21, 2019
- Wrap assets (sponsor) · $56.4M to $14.3MOct 2, 2018 to Mar 21, 2019
- Advisory activities · 3 to 4Mar 26, 2018 to Oct 2, 2018
- Assets in custody · unset to 39955067.0Mar 26, 2018 to Oct 2, 2018
- Custody of client assets · false to trueMar 26, 2018 to Oct 2, 2018
- Wrap assets (manager) · unset to 0.0Mar 26, 2018 to Oct 2, 2018
- Wrap assets (sponsor) · unset to 56405914.0Mar 26, 2018 to Oct 2, 2018
- Accounts · 684 to 966Aug 31, 2017 to Mar 26, 2018
- Advisory employees · 20 to 16Aug 31, 2017 to Mar 26, 2018
- BD registered reps · 20 to 13Aug 31, 2017 to Mar 26, 2018
- Charity clients · unset to 7.0Aug 31, 2017 to Mar 26, 2018
- Corporate clients · unset to 0.0Aug 31, 2017 to Mar 26, 2018
- HNW clients · unset to 78.0Aug 31, 2017 to Mar 26, 2018
- Individual clients · unset to 608.0Aug 31, 2017 to Mar 26, 2018
- Pension plan clients · unset to 10.0Aug 31, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 0.0Aug 31, 2017 to Mar 26, 2018
- Employees · 20 to 16Aug 31, 2017 to Mar 26, 2018
- Financial planning clients · 101-250 to 251-500Aug 31, 2017 to Mar 26, 2018
- State-registered IARs · 20 to 16Aug 31, 2017 to Mar 26, 2018
- Other offices · unset to 2.0Aug 31, 2017 to Mar 26, 2018
- Discretionary RAUM · $61.1M to $61.6MAug 31, 2017 to Mar 26, 2018
- HNW RAUM · unset to 219951401.0Aug 31, 2017 to Mar 26, 2018
- Individual RAUM · unset to 106216055.0Aug 31, 2017 to Mar 26, 2018
- Non-discretionary RAUM · $209M to $298MAug 31, 2017 to Mar 26, 2018
- Pension RAUM · unset to 9974517.0Aug 31, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 31, 2017 to Mar 26, 2018
- RAUM · $270M to $360MAug 31, 2017 to Mar 26, 2018
- Accounts · 566 to 684Mar 9, 2016 to Mar 13, 2017
- Insurance-licensed employees · 20 to 3Mar 9, 2016 to Mar 13, 2017
Signals
2 dated events
- M•• A••••••• reported RAUM $70.9M, down 80% from $359.8M (2018-10-02 to 2019-03-21)Mar 21, 2019 · RAUM change · derived
- M•• A••••••• filed its initial SEC registration (Form ADV)Aug 20, 2015 · 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