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•••••• M••••

Former SEC-registered adviserBerkeley, CaliforniaCRD 170130SEC 801-79017IAPD
Legal name D•••• W••••• M••••••••• I•••
Latest filing Apr 21, 2021
First filing on the tape Dec 23, 2013 · 21 filings
RAUM
$295M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$291M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$295M as of Feb 17, 2021
Feb 5, 2015$174M then
HNW client RAUM$85.0M as of Feb 17, 2021
Mar 15, 2018$220M then
State-registered IARs (5.B.3)6 as of Feb 17, 2021
Feb 5, 20154 then
Employees (5.A)7 as of Feb 17, 2021
Feb 5, 20155 then
Private funds: no history
RAUM +17% over the last fiscal year+2.5% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Apr 21, 2021; every figure names its basis
RAUM per advisor
$49.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$894,737derivedHNW RAUM over HNW clients
Average account
$402,903derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$245M, 262 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$206M70%
  • High-net-worth individuals$85.0M29%
  • Charitable organizations$2.3M0.8%
  • Pension and profit-sharing plans$1.6M0.5%
Individual clients
191reported
HNW clients
95reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
732reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$245M for 262 clientsreported
Compensation
% of AUM, fixedreported
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
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
    • D••••• J•••••••• K• · President And Chief Compliance Officercontrol
      since 01/2011 · 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 · 610 to 732
      Jul 16, 2020 to Feb 17, 2021
    • Advisory employees · 4 to 6
      Jul 16, 2020 to Feb 17, 2021
    • Advisory activities · 4 to 5
      Jul 16, 2020 to Feb 17, 2021
    • Business name · D•••• W••••• M••••••••• I••• to M•••••• M••••
      Jul 16, 2020 to Feb 17, 2021
    • Charity clients · 1.0 to unset
      Jul 16, 2020 to Feb 17, 2021
    • HNW clients · 82 to 95
      Jul 16, 2020 to Feb 17, 2021
    • Individual clients · 182 to 191
      Jul 16, 2020 to Feb 17, 2021
    • Pension plan clients · 3.0 to unset
      Jul 16, 2020 to Feb 17, 2021
    • Assets in custody · $205M to $245M
      Jul 16, 2020 to Feb 17, 2021
    • State-registered IARs · 4 to 6
      Jul 16, 2020 to Feb 17, 2021
    • Discretionary RAUM · $247M to $295M
      Jul 16, 2020 to Feb 17, 2021
    • HNW RAUM · $70.0M to $85.0M
      Jul 16, 2020 to Feb 17, 2021
    • Individual RAUM · $173M to $206M
      Jul 16, 2020 to Feb 17, 2021
    • Non-discretionary RAUM · $5.4M to $0
      Jul 16, 2020 to Feb 17, 2021
    • Pension RAUM · $6.0M to $1.6M
      Jul 16, 2020 to Feb 17, 2021
    • RAUM · $253M to $295M
      Jul 16, 2020 to Feb 17, 2021
    • Accounts · 551 to 610
      Dec 3, 2019 to Jan 27, 2020
    • Charity clients · unset to 1.0
      Dec 3, 2019 to Jan 27, 2020
    • HNW clients · 105 to 82
      Dec 3, 2019 to Jan 27, 2020
    • Individual clients · 126 to 182
      Dec 3, 2019 to Jan 27, 2020
    • Pension plan clients · unset to 3.0
      Dec 3, 2019 to Jan 27, 2020
    • Assets in custody · $146M to $205M
      Dec 3, 2019 to Jan 27, 2020
    • Employees · 5 to 7
      Dec 3, 2019 to Jan 27, 2020
    • Discretionary RAUM · $201M to $247M
      Dec 3, 2019 to Jan 27, 2020
    • HNW RAUM · $170M to $70.0M
      Dec 3, 2019 to Jan 27, 2020
    • Individual RAUM · $29.5M to $173M
      Dec 3, 2019 to Jan 27, 2020
    • Non-discretionary RAUM · $7.0M to $5.4M
      Dec 3, 2019 to Jan 27, 2020
    • Pension RAUM · $5.0M to $6.0M
      Dec 3, 2019 to Jan 27, 2020
    • RAUM · $208M to $253M
      Dec 3, 2019 to Jan 27, 2020
    • Accounts · 543 to 551
      Mar 15, 2018 to Mar 1, 2019
    • Advisory activities · 3 to 4
      Mar 15, 2018 to Mar 1, 2019
    • BD registered reps · 4 to 0
      Mar 15, 2018 to Mar 1, 2019
    • HNW clients · 100 to 105
      Mar 15, 2018 to Mar 1, 2019
    • Individual clients · 128 to 126
      Mar 15, 2018 to Mar 1, 2019
    • Pooled vehicle clients · 4.0 to unset
      Mar 15, 2018 to Mar 1, 2019
    • Assets in custody · $124M to $146M
      Mar 15, 2018 to Mar 1, 2019
    • Discretionary RAUM · $267M to $201M
      Mar 15, 2018 to Mar 1, 2019
    • HNW RAUM · $220M to $170M
      Mar 15, 2018 to Mar 1, 2019
    • Individual RAUM · $34.3M to $29.5M
      Mar 15, 2018 to Mar 1, 2019
    • Pooled vehicle RAUM · 3000000.0 to unset
      Mar 15, 2018 to Mar 1, 2019
    Signals
    2 dated events
    • Wright Nancy Cooper (Chief Compliance Officer) no longer on Schedule A of M•••••• M•••• (listed 2018-03-15, absent 2019-03-01)
      Mar 1, 2019 · Control person left · inference
    • D•••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Dec 23, 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