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•••••• F•••••••• P••••••• I••
Latest filing Jul 6, 2023
First filing on the tape Sep 11, 2013 · 35 filings
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$188M as of Mar 30, 2023
Mar 21, 2014$132M then
HNW client RAUM$123M as of Mar 30, 2023
Mar 28, 2018$125M then
State-registered IARs (5.B.3)9 as of Mar 30, 2023
Mar 21, 20143 then
Employees (5.A)13 as of Mar 30, 2023
Mar 21, 20149 then
Private funds: no history
RAUM -20% over the last fiscal year-3.2% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jul 6, 2023; every figure names its basis
- RAUM per advisor
- $20.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $299,575derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 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
- +4.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $1.6M, 9 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
- 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$123M66%
- Individuals$60.0M32%
- Charitable organizations$4.6M2.4%
- Individual clients
- 180reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 626reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 9 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
- P••• S• B••••••• to M••••• G••••• A••••••• I•••Mar 25, 2024 · RIA to RIA
- S•••• E•••••••• L•••••• to M••••• G••••• A••••••• I•••Feb 13, 2024 · RIA to RIA
- S••• T••••• H••••• to M••••• G••••• A••••••• I•••Feb 13, 2024 · RIA to RIA
- N••••••• J••••• G•••••• to V••••••• A•••••••• I•••Sep 29, 2022 · RIA to affiliated broker-dealer or bank
- A••• R••••• M••••• to V••••••• A•••••••• I•••Mar 16, 2022 · RIA to affiliated broker-dealer or bank
- R••• M•••••• F••••• to V••••••• A•••••••• I•••Aug 11, 2016 · Other
Joined, latest
- S••• T••••• H••••• from F••••••••• I•••Mar 17, 2022 · Other
- N••••••• J••••• G•••••• from C•••••• O•• A•••••••• L••Mar 13, 2020 · Other
- R••• M•••••• F••••• from W•• A•••••••• L•Aug 12, 2015 · Other
- S•••• E•••••••• L•••••• from M•••••• A•••••••• L••Jun 11, 2014 · Other
- P••• S• B••••••• from M•••••• A•••••••• L••Jun 10, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Feb 13, 2024 · Newark, De
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P•••••• S• · Treasurercontrolsince 01/2021 · owns less than 5%
- B•••••••• P•••• S• · Presidentcontrolsince 01/2021 · owns less than 5%
- D•••••• J•••••• L•••••• · Chief Executive Officer & Ccocontrolsince 06/2023 · owns less than 5%
- L••••••• S••••• E•••••••• · Vice-Presidentcontrolsince 01/2021 · owns less than 5%
- T•••••••• J•••••• S•• · Secretarycontrolsince 01/2021 · 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.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newark, De · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 636 to 626Mar 29, 2022 to Mar 30, 2023
- Advisory employees · 11 to 10Mar 29, 2022 to Mar 30, 2023
- Charity clients · 7 to 10Mar 29, 2022 to Mar 30, 2023
- HNW clients · 67 to 51Mar 29, 2022 to Mar 30, 2023
- Individual clients · 155 to 180Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $25.0M to $1.6MMar 29, 2022 to Mar 30, 2023
- Employees · 15 to 13Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $233M to $188MMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $175M to $123MMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $54.0M to $60.0MMar 29, 2022 to Mar 30, 2023
- RAUM · $233M to $188MMar 29, 2022 to Mar 30, 2023
- Accounts · 644 to 636Mar 26, 2021 to Mar 29, 2022
- HNW clients · 69 to 67Mar 26, 2021 to Mar 29, 2022
- Individual clients · 165 to 155Mar 26, 2021 to Mar 29, 2022
- Assets in custody · $4.7M to $25.0MMar 26, 2021 to Mar 29, 2022
- Employees · 16 to 15Mar 26, 2021 to Mar 29, 2022
- Discretionary RAUM · $219M to $233MMar 26, 2021 to Mar 29, 2022
- HNW RAUM · $160M to $175MMar 26, 2021 to Mar 29, 2022
- Individual RAUM · $55.3M to $54.0MMar 26, 2021 to Mar 29, 2022
- RAUM · $219M to $233MMar 26, 2021 to Mar 29, 2022
- Accounts · 680 to 644Sep 8, 2020 to Mar 26, 2021
- Charity clients · 5 to 7Sep 8, 2020 to Mar 26, 2021
- HNW clients · 63 to 69Sep 8, 2020 to Mar 26, 2021
- Individual clients · 183 to 165Sep 8, 2020 to Mar 26, 2021
- Assets in custody · $5.0M to $4.7MSep 8, 2020 to Mar 26, 2021
- Employees · 17 to 16Sep 8, 2020 to Mar 26, 2021
- Discretionary RAUM · $207M to $219MSep 8, 2020 to Mar 26, 2021
- HNW RAUM · $151M to $160MSep 8, 2020 to Mar 26, 2021
- Individual RAUM · $53.3M to $55.3MSep 8, 2020 to Mar 26, 2021
- RAUM · $207M to $219MSep 8, 2020 to Mar 26, 2021
- Accounts · 661 to 680Mar 29, 2019 to Mar 24, 2020
- Charity clients · unset to 5.0Mar 29, 2019 to Mar 24, 2020
- HNW clients · 50 to 63Mar 29, 2019 to Mar 24, 2020
- Individual clients · 185 to 183Mar 29, 2019 to Mar 24, 2020
- Assets in custody · $4.6M to $5.0MMar 29, 2019 to Mar 24, 2020
- State-registered IARs · 8 to 9Mar 29, 2019 to Mar 24, 2020
- Discretionary RAUM · $169M to $207MMar 29, 2019 to Mar 24, 2020
- HNW RAUM · $113M to $151MMar 29, 2019 to Mar 24, 2020
- Individual RAUM · $55.2M to $53.3MMar 29, 2019 to Mar 24, 2020
- RAUM · $169M to $207MMar 29, 2019 to Mar 24, 2020
Signals
8 dated events
- P••• S• B••••••• left M•••••• F•••••••• P••••••• I•• for M••••• G••••• A••••••• I••• (registered 2023-07-26)Mar 25, 2024 · Advisor changed firm · fact
- S•••• E•••••••• L•••••• left M•••••• F•••••••• P••••••• I•• for M••••• G••••• A••••••• I••• (registered 2023-07-24)Feb 13, 2024 · Advisor changed firm · fact
- S••• T••••• H••••• left M•••••• F•••••••• P••••••• I•• for M••••• G••••• A••••••• I••• (registered 2023-07-17)Feb 13, 2024 · Advisor changed firm · fact
- 2 advisors left M•••••• F•••••••• P••••••• I•• (Newark, DE) for M••••• G••••• A••••••• I••• on the same dayFeb 13, 2024 · Team lift-out · derived
- N••••••• J••••• G•••••• left M•••••• F•••••••• P••••••• I•• for V••••••• A•••••••• I••• (registered 2022-10-10)Sep 29, 2022 · Advisor changed firm · fact
- A••• R••••• M••••• left M•••••• F•••••••• P••••••• I•• for V••••••• A•••••••• I••• (registered 2022-05-17)Mar 16, 2022 · Advisor changed firm · fact
- Leonard Joseph Daigle (Chief Executive Officer) appeared on Schedule A of M•••••• F•••••••• P••••••• I••Mar 24, 2020 · Control person joined · fact
- M•••••• F•••••••• P••••••• I•• filed its initial SEC registration (Form ADV)Sep 11, 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.
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