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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•••••• I••••••••• M••••••••• L•••
Latest filing Apr 1, 2026
First filing on the tape Oct 3, 2013 · 26 filings
SEC status approved since Oct 23, 2013
RAUM
$228M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$225M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$228M
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
26 filings and snapshots on the tape
RAUM$228M as of Apr 1, 2026
Mar 28, 2014$144M then
HNW client RAUM$89.4M as of Apr 1, 2026
Feb 22, 2018$32.0M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 28, 20141 then
Employees (5.A)1 as of Apr 1, 2026
Mar 28, 20141 then
Private funds1 as of Mar 22, 2019
Mar 25, 20161 then
RAUM +20% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $228MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 561derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $242,671derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $228MreportedItem 5.I
- Custody
- $94.9M, 298 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$135M59%
- High-net-worth individuals$89.4M39%
- Corporations and businesses$3.7M1.6%
- Charitable organizations$33,1710.0%
- Individual clients
- 520reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 941reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $94.9M for 298 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••••• M•••••• | Show Low, Az | Nov 7, 2013 | 32 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• C•••••• M•••••• from W•••• F•••• A•••••••Nov 7, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C••••• R••••••• P••••••• L•no longer reported | Hedge Fund | $1.5M | 0 | Aug 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• C•••••• · Chief Compliance Officer/Principalcontrolsince 10/2013 · 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
- Accounts · 885 to 941Apr 23, 2025 to Apr 1, 2026
- Advisory activities · 3 to 2Apr 23, 2025 to Apr 1, 2026
- Corporate clients · unset to 8.0Apr 23, 2025 to Apr 1, 2026
- HNW clients · 64 to 41Apr 23, 2025 to Apr 1, 2026
- Individual clients · 486 to 520Apr 23, 2025 to Apr 1, 2026
- Assets in custody · $87.6M to $94.9MApr 23, 2025 to Apr 1, 2026
- Financial planning clients · 11-25 to 0Apr 23, 2025 to Apr 1, 2026
- Discretionary RAUM · $190M to $228MApr 23, 2025 to Apr 1, 2026
- HNW RAUM · $84.8M to $89.4MApr 23, 2025 to Apr 1, 2026
- Individual RAUM · $105M to $135MApr 23, 2025 to Apr 1, 2026
- RAUM · $190M to $228MApr 23, 2025 to Apr 1, 2026
- Wrap assets (manager) · $190M to $0Apr 23, 2025 to Apr 1, 2026
- Wrap assets (sponsor) · $190M to $0Apr 23, 2025 to Apr 1, 2026
- Accounts · 850 to 885Mar 27, 2024 to Apr 23, 2025
- Charity clients · unset to 1.0Mar 27, 2024 to Apr 23, 2025
- HNW clients · 73 to 64Mar 27, 2024 to Apr 23, 2025
- Individual clients · 463 to 486Mar 27, 2024 to Apr 23, 2025
- Assets in custody · $95.1M to $87.6MMar 27, 2024 to Apr 23, 2025
- Financial planning clients · 11-25 to 11-25Mar 27, 2024 to Apr 23, 2025
- Discretionary RAUM · $170M to $190MMar 27, 2024 to Apr 23, 2025
- HNW RAUM · $80.0M to $84.8MMar 27, 2024 to Apr 23, 2025
- Individual RAUM · $89.5M to $105MMar 27, 2024 to Apr 23, 2025
- RAUM · $170M to $190MMar 27, 2024 to Apr 23, 2025
- Wrap assets (manager) · $170M to $190MMar 27, 2024 to Apr 23, 2025
- Wrap assets (sponsor) · $170M to $190MMar 27, 2024 to Apr 23, 2025
- Accounts · 810 to 850Mar 28, 2023 to Mar 27, 2024
- Advisory activities · 4 to 3Mar 28, 2023 to Mar 27, 2024
- HNW clients · 44 to 73Mar 28, 2023 to Mar 27, 2024
- Individual clients · 766 to 463Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $65.4M to $95.1MMar 28, 2023 to Mar 27, 2024
- Financial planning clients · 0 to 11-25Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $147M to $170MMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $50.4M to $80.0MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $96.5M to $89.5MMar 28, 2023 to Mar 27, 2024
- RAUM · $147M to $170MMar 28, 2023 to Mar 27, 2024
- Wrap assets (manager) · $0 to $170MMar 28, 2023 to Mar 27, 2024
- Wrap assets (sponsor) · $0 to $170MMar 28, 2023 to Mar 27, 2024
- Accounts · 770 to 810Apr 12, 2022 to Mar 28, 2023
- HNW clients · 33 to 44Apr 12, 2022 to Mar 28, 2023
- Individual clients · 481 to 766Apr 12, 2022 to Mar 28, 2023
Signals
1 dated events
- M•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 2013 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 928-537-8700reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 928-537-8700reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $228Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026