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•••••••• L••
Latest filing Oct 4, 2022
First filing on the tape Apr 23, 2018 · 12 filings
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$172M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$172M as of Mar 8, 2022
Feb 21, 2019$122M then
HNW client RAUM$141M as of Mar 8, 2022
Feb 21, 2019$91.0M then
State-registered IARs (5.B.3)1 as of Mar 8, 2022
Feb 21, 20191 then
Employees (5.A)5 as of Mar 8, 2022
Feb 21, 20193 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 4, 2022; every figure names its basis
- RAUM per advisor
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $397,724derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $74.3M, 109 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$141M82%
- Individuals$31.2M18%
- Individual clients
- 49reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 433reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.3M for 109 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
- W•••••• D• S•••••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- C•••••• M••••••• F•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Sep 3, 2019 · RIA to affiliated broker-dealer or bank
- M•••••• M••••• T••••••• to P•••• S••••••••• L••Oct 31, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••• M••••••• F•••••• from C•••••• O•• A•••••••• L••Apr 15, 2019 · Other
- M•••••• M••••• T••••••• from N••• F•••••• I••••••••• S•••••••• L••Jan 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• W••••••• D• · President And Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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 · 427 to 433Mar 10, 2021 to Mar 8, 2022
- HNW clients · 58 to 65Mar 10, 2021 to Mar 8, 2022
- Individual clients · 53 to 49Mar 10, 2021 to Mar 8, 2022
- Assets in custody · $64.8M to $74.3MMar 10, 2021 to Mar 8, 2022
- Discretionary RAUM · $156M to $172MMar 10, 2021 to Mar 8, 2022
- HNW RAUM · $116M to $141MMar 10, 2021 to Mar 8, 2022
- Individual RAUM · $39.6M to $31.2MMar 10, 2021 to Mar 8, 2022
- RAUM · $156M to $172MMar 10, 2021 to Mar 8, 2022
- Accounts · 258 to 427Jun 11, 2020 to Mar 10, 2021
- Individual clients · 52 to 53Jun 11, 2020 to Mar 10, 2021
- Assets in custody · $55.6M to $64.8MJun 11, 2020 to Mar 10, 2021
- Employees · 4 to 5Jun 11, 2020 to Mar 10, 2021
- Discretionary RAUM · $145M to $156MJun 11, 2020 to Mar 10, 2021
- HNW RAUM · $111M to $116MJun 11, 2020 to Mar 10, 2021
- Individual RAUM · $34.0M to $39.6MJun 11, 2020 to Mar 10, 2021
- RAUM · $145M to $156MJun 11, 2020 to Mar 10, 2021
- Accounts · 399 to 258Sep 12, 2019 to Mar 4, 2020
- Advisory employees · 2 to 1Sep 12, 2019 to Mar 4, 2020
- HNW clients · 54 to 58Sep 12, 2019 to Mar 4, 2020
- Individual clients · 50 to 52Sep 12, 2019 to Mar 4, 2020
- Assets in custody · $41.7M to $55.6MSep 12, 2019 to Mar 4, 2020
- State-registered IARs · 2 to 1Sep 12, 2019 to Mar 4, 2020
- Discretionary RAUM · $122M to $145MSep 12, 2019 to Mar 4, 2020
- HNW RAUM · $91.0M to $111MSep 12, 2019 to Mar 4, 2020
- Individual RAUM · $31.1M to $34.0MSep 12, 2019 to Mar 4, 2020
- RAUM · $122M to $145MSep 12, 2019 to Mar 4, 2020
- Advisory employees · 1 to 2Feb 21, 2019 to Apr 15, 2019
- Employees · 3 to 4Feb 21, 2019 to Apr 15, 2019
- State-registered IARs · 1 to 2Feb 21, 2019 to Apr 15, 2019
- Accounts · 437 to 399Oct 31, 2018 to Feb 21, 2019
- Advisory activities · 4 to 3Oct 31, 2018 to Feb 21, 2019
- HNW clients · 49 to 54Oct 31, 2018 to Feb 21, 2019
- Individual clients · 54 to 50Oct 31, 2018 to Feb 21, 2019
- Assets in custody · unset to 41733040.0Oct 31, 2018 to Feb 21, 2019
- Custody of client assets · false to trueOct 31, 2018 to Feb 21, 2019
- Financial planning clients · 26-50 to 51-100Oct 31, 2018 to Feb 21, 2019
- Discretionary RAUM · $76.9M to $122MOct 31, 2018 to Feb 21, 2019
- HNW RAUM · $93.7M to $91.0MOct 31, 2018 to Feb 21, 2019
- Individual RAUM · $30.9M to $31.1MOct 31, 2018 to Feb 21, 2019
- Non-discretionary RAUM · $47.7M to $0Oct 31, 2018 to Feb 21, 2019
Signals
2 dated events
- W•••••• D• S•••••• left M•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-09-22)Dec 16, 2022 · Advisor changed firm · fact
- M•••••• A••••••• filed its initial SEC registration (Form ADV)Apr 23, 2018 · 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