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
M•• W••••• S•••••••
Latest filing Jul 23, 2026
First filing on the tape Oct 12, 2016 · 23 filings
SEC status approved since Oct 24, 2016
RAUM
$310M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$310M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$310M as of Jul 23, 2026
Jan 31, 2017$143M then
HNW client RAUM$62.7M as of Jul 23, 2026
Feb 6, 2018$122M then
State-registered IARs (5.B.3)3 as of Jul 23, 2026
Jan 31, 20173 then
Employees (5.A)3 as of Jul 23, 2026
Jan 31, 20174 then
Private funds: no history
RAUM +25% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 23, 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
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $444,087derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$247M80%
- High-net-worth individuals$62.7M20%
- Individual clients
- 215reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 698reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E••• G•••••Certified Financial Planner | Thousand Oaks, Ca | Oct 17, 2013 | 21 y | 1 |
| C••••••••• D• M•••••• | Thousand Oaks, Ca | Nov 13, 2013 | 19 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
- R••••• S• H•••••• to S•••••••• F••••••••• I•••Mar 22, 2017 · Other
Joined, latest
- R••••• S• H•••••• from L•• F•••••••• L••Jan 10, 2014 · Other
- C••••••••• D• M•••••• from A••••••• A••••••• • S••••••••• L••Nov 13, 2013 · Other
- M•••••• E••• G••••• from A••••••• A••••••• • S••••••••• L••Oct 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• M••••••• E••• · Chief Compliance Officer, Shareholdercontrolsince 01/2019 · owns 50% to 75%
- M••••••• C••••••••• D• · President, Shareholdersince 01/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
- M•••••• E• G•••••investment companyn
- T•••• W•••••• • M•••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Thousand Oaks, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Indianapolis, IN1 employees
What changed
consecutive filings, newest first
- Accounts · 706 to 698Jan 16, 2026 to Jul 23, 2026
- Assets in custody · unset to 292108019.0Jan 16, 2026 to Jul 23, 2026
- Discretionary RAUM · $292M to $292MJan 16, 2026 to Jul 23, 2026
- HNW RAUM · $54.6M to $62.7MJan 16, 2026 to Jul 23, 2026
- Individual RAUM · $238M to $247MJan 16, 2026 to Jul 23, 2026
- Non-discretionary RAUM · $642,740 to $17.9MJan 16, 2026 to Jul 23, 2026
- RAUM · $293M to $310MJan 16, 2026 to Jul 23, 2026
- Accounts · 608 to 706Jan 21, 2025 to Jan 16, 2026
- HNW clients · 5 to 9Jan 21, 2025 to Jan 16, 2026
- Individual clients · 177 to 215Jan 21, 2025 to Jan 16, 2026
- Assets in custody · 248967927.0 to unsetJan 21, 2025 to Jan 16, 2026
- Discretionary RAUM · $240M to $292MJan 21, 2025 to Jan 16, 2026
- HNW RAUM · $38.4M to $54.6MJan 21, 2025 to Jan 16, 2026
- Individual RAUM · $210M to $238MJan 21, 2025 to Jan 16, 2026
- Non-discretionary RAUM · $8.4M to $642,740Jan 21, 2025 to Jan 16, 2026
- RAUM · $248M to $293MJan 21, 2025 to Jan 16, 2026
- Accounts · 613 to 608Feb 21, 2024 to Jan 21, 2025
- HNW clients · 6 to 5Feb 21, 2024 to Jan 21, 2025
- Individual clients · 175 to 177Feb 21, 2024 to Jan 21, 2025
- Assets in custody · $215M to $249MFeb 21, 2024 to Jan 21, 2025
- Financial planning clients · 101-250 to 101-250Feb 21, 2024 to Jan 21, 2025
- Discretionary RAUM · $215M to $240MFeb 21, 2024 to Jan 21, 2025
- HNW RAUM · $39.5M to $38.4MFeb 21, 2024 to Jan 21, 2025
- Individual RAUM · $185M to $210MFeb 21, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $9.3M to $8.4MFeb 21, 2024 to Jan 21, 2025
- RAUM · $224M to $248MFeb 21, 2024 to Jan 21, 2025
- Accounts · 584 to 613Nov 1, 2023 to Feb 21, 2024
- HNW clients · 55 to 6Nov 1, 2023 to Feb 21, 2024
- Individual clients · 128 to 175Nov 1, 2023 to Feb 21, 2024
- Commission compensation · true to falseNov 1, 2023 to Feb 21, 2024
- Assets in custody · $162M to $215MNov 1, 2023 to Feb 21, 2024
- Legal name · M••••• FINANCIAL, INC. to M•• W••••• S•••••••Nov 1, 2023 to Feb 21, 2024
- Other offices · 0 to 1Nov 1, 2023 to Feb 21, 2024
- Discretionary RAUM · $179M to $215MNov 1, 2023 to Feb 21, 2024
- HNW RAUM · $130M to $39.5MNov 1, 2023 to Feb 21, 2024
- Individual RAUM · $61.0M to $185MNov 1, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $12.1M to $9.3MNov 1, 2023 to Feb 21, 2024
- RAUM · $191M to $224MNov 1, 2023 to Feb 21, 2024
- Accounts · 575 to 584Jan 10, 2023 to Apr 13, 2023
- HNW clients · 49 to 55Jan 10, 2023 to Apr 13, 2023
Signals
3 dated events
- M•• W••••• S••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 18, 2019 · Succession (Item 4) · fact
- Gerald Malcolm Meador (President, Shareholder) no longer on Schedule A of M•• W••••• S••••••• (listed 2018-02-06, absent 2019-01-18)Jan 18, 2019 · Control person left · inference
- M••••• • A••••••••• filed its initial SEC registration (Form ADV)Oct 12, 2016 · 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
- 805-852-2274reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 833-496-5474reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.m••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-496-5474reportedpublic record, Form ADV, Jul 23, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026