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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SEC-registered adviser
I•••••••• M•••••
Legal name I•••••••• M•••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 1, 2024 · 3 filings
SEC status approved since May 31, 2024
RAUM
$192M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$185M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$192M as of Mar 30, 2026
Mar 31, 2025$148M then
HNW client RAUM$183M as of Mar 30, 2026
Mar 31, 2025$140M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 31, 20252 then
Employees (5.A)2 as of Mar 30, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $96.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $24.0M, 10 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M95%
- Charitable organizations$5.9M3.0%
- Individuals$2.5M1.3%
- Corporations and businesses$785,4690.4%
- Individual clients
- 7reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 164reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.0M for 10 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• A•••••••• M•••••••• | Durham, Nc | May 29, 2025 | 13 y | 1 |
| T•••••• R••• P•••• | Wilmington, Nc | May 29, 2025 | 15 y | 2 |
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
- T•••••• R••• P•••• from O•••• W•••••• I•••Aug 23, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• E••• · President, Ceo And Ccocontrolsince 07/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Durham, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 142 to 164Mar 31, 2025 to Mar 30, 2026
- Charity clients · 3.0 to unsetMar 31, 2025 to Mar 30, 2026
- Corporate clients · 1.0 to unsetMar 31, 2025 to Mar 30, 2026
- HNW clients · 23 to 26Mar 31, 2025 to Mar 30, 2026
- Individual clients · 6 to 7Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $19.0M to $24.0MMar 31, 2025 to Mar 30, 2026
- Financial planning clients · 11-25 to 26-50Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $148M to $192MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $140M to $183MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $1.9M to $2.5MMar 31, 2025 to Mar 30, 2026
- RAUM · $148M to $192MMar 31, 2025 to Mar 30, 2026
- Accounts · 129 to 142May 1, 2024 to Mar 31, 2025
- Charity clients · unset to 3.0May 1, 2024 to Mar 31, 2025
- Corporate clients · unset to 1.0May 1, 2024 to Mar 31, 2025
- HNW clients · 22 to 23May 1, 2024 to Mar 31, 2025
- Individual clients · 5 to 6May 1, 2024 to Mar 31, 2025
- Assets in custody · $2.0M to $19.0MMay 1, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25May 1, 2024 to Mar 31, 2025
- HQ city · unset to May 1, 2024 to Mar 31, 2025
- HQ state · unset to May 1, 2024 to Mar 31, 2025
- Legal name · I•••••••• M•••••• L••. to I•••••••• M•••••• L••May 1, 2024 to Mar 31, 2025
- Other offices · 0 to 1May 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $117M to $148MMay 1, 2024 to Mar 31, 2025
- HNW RAUM · $112M to $140MMay 1, 2024 to Mar 31, 2025
- Individual RAUM · $1.6M to $1.9MMay 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.2M to $0May 1, 2024 to Mar 31, 2025
- RAUM · $120M to $148MMay 1, 2024 to Mar 31, 2025
Signals
1 dated events
- I•••••••• M••••• filed its initial SEC registration (Form ADV)May 1, 2024 · 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
- Website
- INVESTORSM•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (617) 272-0006reportedpublic record, Form ADV, Mar 30, 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
- $96.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026