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•••••• W••••• A•••••••

Former SEC-registered adviserOverland Park, KansasCRD 169459SEC 801-78721IAPD
Legal name M•••••• W••••• A••••••••• L••
Latest filing Aug 27, 2017
First filing on the tape Oct 17, 2013 · 14 filings
RAUM
$724M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$724M as of Mar 29, 2017
Mar 21, 2014$609M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 29, 2017
Mar 21, 20145 then
Employees (5.A)37 as of Mar 29, 2017
Mar 21, 201421 then
Private funds: no history
RAUM +1.8% over the last fiscal year+5.9% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Aug 27, 2017; every figure names its basis
RAUM per advisor
$72.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$643,659derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.7derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%derivedbetween the last two annual amendments
Advisor growth, one year
+11%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$3.8M, 17 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,125reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$3.8M for 17 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• C•••••• R•••• · Chief Compliance Officercontrol
      since 11/2013 · owns less than 5%
    • C••••••••• M•••• A••••• · Chief Investment Officercontrol
      since 12/2016 · owns less than 5%
    • M•••••••• J•••••• B•••• · Managing Partnercontrol
      since 11/2013 · owns less than 5%
    • B•••••••• M•••••• C••••••••• · Elected Managercontrol
      since 07/2007 · owns F of B••••••• F••••• H•••••• C••••••• L••
    • S••••••• K••••• L•••• · Vice President Of Operations
      since 01/2016 · owns less than 5%
    Entity owners
    • M•••••• W••••• A•••••••• L•• · Managing Member
      direct · owns 50% to 75%
    • B••••••• F••••• H•••••• C••••••• L•• · Manager
      indirect · owns 75% or more of M•••••• H•••••••• L••
    • M•••••• H•••••••• L•• · Managing Member
      indirect · owns 75% or more of M•••••• W••••• A•••••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list M•••••• W••••• A••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY
    What changed
    consecutive filings, newest first
    • Accounts · 1,221 to 1,125
      Nov 23, 2016 to Mar 29, 2017
    • Advisory employees · 9 to 10
      Nov 23, 2016 to Mar 29, 2017
    • Assets in custody · $3.6M to $3.8M
      Nov 23, 2016 to Mar 29, 2017
    • Employees · 35 to 37
      Nov 23, 2016 to Mar 29, 2017
    • Insurance-licensed employees · 0 to 2
      Nov 23, 2016 to Mar 29, 2017
    • Financial planning clients · 101-250 to 251-500
      Nov 23, 2016 to Mar 29, 2017
    • HQ city · L•••••• to OVERLAND PARK
      Nov 23, 2016 to Mar 29, 2017
    • State-registered IARs · 9 to 10
      Nov 23, 2016 to Mar 29, 2017
    • Discretionary RAUM · $612M to $689M
      Nov 23, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $98.9M to $34.6M
      Nov 23, 2016 to Mar 29, 2017
    • RAUM · $711M to $724M
      Nov 23, 2016 to Mar 29, 2017
    • Accounts · 1,237 to 1,221
      Oct 14, 2015 to Mar 25, 2016
    • Advisory employees · 12 to 9
      Oct 14, 2015 to Mar 25, 2016
    • Assets in custody · $4.0M to $3.6M
      Oct 14, 2015 to Mar 25, 2016
    • Employees · 32 to 35
      Oct 14, 2015 to Mar 25, 2016
    • State-registered IARs · 5 to 9
      Oct 14, 2015 to Mar 25, 2016
    • Discretionary RAUM · $594M to $612M
      Oct 14, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $81.4M to $98.9M
      Oct 14, 2015 to Mar 25, 2016
    • RAUM · $676M to $711M
      Oct 14, 2015 to Mar 25, 2016
    • Business name · M•••••• W••••• A••••••••• L•• to M•••••• W••••• A•••••••
      Mar 25, 2015 to Mar 27, 2015
    • Non-discretionary RAUM · $81.4M to $81.4M
      Mar 25, 2015 to Mar 27, 2015
    • RAUM · $676M to $676M
      Mar 25, 2015 to Mar 27, 2015
    • RAUM · $657M to $676M
      Jan 7, 2015 to Mar 25, 2015
    • Accounts · 1,189 to 1,237
      Jan 7, 2015 to Mar 25, 2015
    • Business name · R• A••••••• G••••• L•• to M•••••• W••••• A••••••••• L••
      Jan 7, 2015 to Mar 25, 2015
    • Assets in custody · $4.3M to $4.0M
      Jan 7, 2015 to Mar 25, 2015
    • Employees · 21 to 32
      Jan 7, 2015 to Mar 25, 2015
    • Legal name · R• A••••••• G••••• L•• to M•••••• W••••• A••••••••• L••
      Jan 7, 2015 to Mar 25, 2015
    • Discretionary RAUM · $580M to $594M
      Jan 7, 2015 to Mar 25, 2015
    • Non-discretionary RAUM · $77.0M to $81.4M
      Jan 7, 2015 to Mar 25, 2015
    • Accounts · 1,110 to 1,189
      Mar 21, 2014 to Jan 7, 2015
    • Discretionary RAUM · $539M to $580M
      Mar 21, 2014 to Jan 7, 2015
    • Non-discretionary RAUM · $70.6M to $77.0M
      Mar 21, 2014 to Jan 7, 2015
    • RAUM · $609M to $657M
      Mar 21, 2014 to Jan 7, 2015
    • Accounts · 1,119 to 1,110
      Dec 12, 2013 to Mar 21, 2014
    • Business name · R• M••••••• L•• to R• A••••••• G••••• L••
      Dec 12, 2013 to Mar 21, 2014
    • Assets in custody · $4.9M to $4.3M
      Dec 12, 2013 to Mar 21, 2014
    • Employees · 20 to 21
      Dec 12, 2013 to Mar 21, 2014
    • Financial planning clients · 0 to 101-250
      Dec 12, 2013 to Mar 21, 2014
    • State-registered IARs · 8 to 5
      Dec 12, 2013 to Mar 21, 2014
    Signals
    1 dated events
    • R• M••••••• L•• filed its initial SEC registration (Form ADV)
      Oct 17, 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