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••••• M••••••••• L••
Latest filing Mar 21, 2025
First filing on the tape Nov 18, 2013 · 26 filings
SEC status approved since Dec 24, 2013
RAUM
$97.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$95.5M 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
26 filings and snapshots on the tape
RAUM$97.1M as of Mar 21, 2025
Jan 8, 2014$63.9M then
HNW client RAUM$29.6M as of Mar 21, 2025
Mar 18, 2019$7.5M then
State-registered IARs (5.B.3)1 as of Mar 21, 2025
Jan 8, 20142 then
Employees (5.A)5 as of Mar 21, 2025
Jan 8, 20142 then
Private funds: no history
RAUM -19% over the last fiscal year-7.9% a year over threeIARs 5 to 1
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
- RAUM per advisor
- $97.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 396derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $208,369derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%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
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, otherreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$66.0M68%
- High-net-worth individuals$29.6M30%
- Pension and profit-sharing plans$1.6M1.6%
- Individual clients
- 383reported
- HNW clients
- 13reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 466reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- L••• M••••••• to K••••• A••••••• S•••••••• L••Dec 10, 2024 · RIA to affiliated broker-dealer or bank
- L••• A• N•••• to K••••• A••••••• S•••••••• L••Dec 10, 2024 · RIA to affiliated broker-dealer or bank
- L••• A• N•••• to J••• M••••• S••••••••• L••Jul 5, 2016 · Other
Joined, latest
- L••• M••••••• from S••••••• I••••••••• I•••Feb 6, 2017 · Other
- L••• A• N•••• from J••• M••••• S••••••••• L••Oct 13, 2016 · Other
- L••• A• N•••• from C•••• I••••••••• S••••••• C••••May 27, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for K••••• A••••••• S•••••••• L••Dec 10, 2024 · Florida, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• M••••• V•••••• · Ceocontrolsince 10/2017 · owns 50% to 75%
- M•••••••• J••••• G••••• · President And Managing Partnersince 10/2018 · owns 50% to 75%
- N••••• L•••• A• · Chief Compliance Officersince 09/2021 · owns less than 5%
Related persons
Schedule D 7.A
- M••••••• E••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Florida, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 592 to 466May 3, 2024 to Mar 21, 2025
- Advisory employees · 4 to 1May 3, 2024 to Mar 21, 2025
- HNW clients · 18 to 13May 3, 2024 to Mar 21, 2025
- Individual clients · 497 to 383May 3, 2024 to Mar 21, 2025
- Pension plan clients · 18 to 11May 3, 2024 to Mar 21, 2025
- Financial planning clients · 11-25 to 1-10May 3, 2024 to Mar 21, 2025
- State-registered IARs · 5 to 1May 3, 2024 to Mar 21, 2025
- Discretionary RAUM · $119M to $97.1MMay 3, 2024 to Mar 21, 2025
- HNW RAUM · $31.8M to $29.6MMay 3, 2024 to Mar 21, 2025
- Individual RAUM · $85.6M to $66.0MMay 3, 2024 to Mar 21, 2025
- Pension RAUM · $1.9M to $1.6MMay 3, 2024 to Mar 21, 2025
- RAUM · $119M to $97.1MMay 3, 2024 to Mar 21, 2025
- Assets in custody · 105502826.0 to unsetMar 28, 2024 to May 2, 2024
- Custody of client assets · true to falseMar 28, 2024 to May 2, 2024
- Accounts · 629 to 592Mar 16, 2023 to Mar 28, 2024
- Advisory employees · 5 to 4Mar 16, 2023 to Mar 28, 2024
- HNW clients · 17 to 18Mar 16, 2023 to Mar 28, 2024
- Individual clients · 547 to 497Mar 16, 2023 to Mar 28, 2024
- Pension plan clients · 11 to 18Mar 16, 2023 to Mar 28, 2024
- Financial planning clients · 26-50 to 11-25Mar 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $108M to $119MMar 16, 2023 to Mar 28, 2024
- HNW RAUM · $31.0M to $31.8MMar 16, 2023 to Mar 28, 2024
- Individual RAUM · $75.5M to $85.6MMar 16, 2023 to Mar 28, 2024
- Pension RAUM · $1.3M to $1.9MMar 16, 2023 to Mar 28, 2024
- RAUM · $108M to $119MMar 16, 2023 to Mar 28, 2024
- Accounts · 584 to 629Mar 16, 2022 to Mar 16, 2023
- HNW clients · 16 to 17Mar 16, 2022 to Mar 16, 2023
- Individual clients · 449 to 547Mar 16, 2022 to Mar 16, 2023
- Pension plan clients · 9 to 11Mar 16, 2022 to Mar 16, 2023
- Financial planning clients · 0 to 26-50Mar 16, 2022 to Mar 16, 2023
- Discretionary RAUM · $124M to $108MMar 16, 2022 to Mar 16, 2023
- HNW RAUM · $28.7M to $31.0MMar 16, 2022 to Mar 16, 2023
- Individual RAUM · $94.3M to $75.5MMar 16, 2022 to Mar 16, 2023
- Pension RAUM · $1.5M to $1.3MMar 16, 2022 to Mar 16, 2023
- RAUM · $124M to $108MMar 16, 2022 to Mar 16, 2023
- Accounts · 497 to 584Sep 13, 2021 to Mar 16, 2022
- HNW clients · 13 to 16Sep 13, 2021 to Mar 16, 2022
- Individual clients · 457 to 449Sep 13, 2021 to Mar 16, 2022
- Pension plan clients · 10 to 9Sep 13, 2021 to Mar 16, 2022
- Pooled vehicle clients · 1.0 to unsetSep 13, 2021 to Mar 16, 2022
Signals
6 dated events
- M•••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $97.1M)Jul 1, 2025 · Left the SEC roster · derived
- L••• M••••••• left M•••• W••••• M••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-11-19)Dec 10, 2024 · Advisor changed firm · fact
- L••• A• N•••• left M•••• W••••• M••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-11-19)Dec 10, 2024 · Advisor changed firm · fact
- 2 advisors left M•••• W••••• M••••••••• L•• (Florida, NY) for K••••• A••••••• S•••••••• L•• on the same dayDec 10, 2024 · Team lift-out · derived
- J•••••••• P••••••• H••••• (Chief Compliance Officer) no longer on Schedule A of M•••• W••••• M••••••••• L•• (listed 2021-03-16, absent 2021-09-13)Sep 13, 2021 · Control person left · inference
- M•••••••• M•••• V• filed its initial SEC registration (Form ADV)Nov 18, 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