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•••••••••

Former SEC-registered adviserNew York, New YorkCRD 170832SEC 801-79781IAPD
Legal name M•• I• L••
Latest filing Mar 30, 2017
First filing on the tape May 15, 2014 · 9 filings
RAUM
$213M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$213M as of Mar 30, 2017
Mar 30, 2015$2.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20150 then
Employees (5.A)1 as of Mar 30, 2017
Mar 30, 20154 then
Private funds: no history
RAUM +57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+57%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
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
  • 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)
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
40reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• N•••••••• S•••• · Managing Membercontrol
        since 07/2010 · owns 50% to 75% of A•• R••• E••••• P•••••••• L••
      • B•••••••• S••••••••• J• · Managing Director
        since 03/2014 · owns less than 5%
      • T••••• J•••••••• S•••••• · Chief Compliance Officer
        since 11/2015 · owns less than 5%
      • B••••• B••••• S••• · Member
        since 07/2010 · owns F of A•• R••• E••••• P•••••••• L••
      • B••••• P••••• M••••••• · Member
        since 07/2010 · owns F of A•• R••• E••••• P•••••••• L••
      • K•••••• W••••••• M••••• · Managing Member
        since 07/2010 · owns F of A•• R••• E••••• P•••••••• L••
      • W•••• E•••••• M•••••• · Member
        since 07/2010 · owns F of A•• R••• E••••• P•••••••• L••
      Entity owners
      • A•• R••• E••••• P•••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A• G••••• I••••••••• L••
        pooled vehicle sponsorn
      Advisers that list M••••••••• W••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $136M to $213M
        Dec 9, 2016 to Mar 30, 2017
      • RAUM · $136M to $213M
        Dec 9, 2016 to Mar 30, 2017
      • Discretionary RAUM · $162M to $136M
        Jan 27, 2016 to Mar 30, 2016
      • RAUM · $162M to $136M
        Jan 27, 2016 to Mar 30, 2016
      • Related broker-dealer · true to false
        Jan 27, 2016 to Mar 30, 2016
      • Legal name · M••••••••• W••••• M••••••••• L•• to MWM I, LLC
        Apr 30, 2015 to Dec 14, 2015
      • Succession · true to false
        Apr 30, 2015 to Dec 14, 2015
      • Accounts · 1 to 40
        Mar 30, 2015 to Apr 30, 2015
      • Advisory employees · 2 to 1
        Mar 30, 2015 to Apr 30, 2015
      • BD registered reps · 1 to 0
        Mar 30, 2015 to Apr 30, 2015
      • Employees · 4 to 1
        Mar 30, 2015 to Apr 30, 2015
      • Discretionary RAUM · $2.0M to $162M
        Mar 30, 2015 to Apr 30, 2015
      • RAUM · $2.0M to $162M
        Mar 30, 2015 to Apr 30, 2015
      • Succession · false to true
        Mar 30, 2015 to Apr 30, 2015
      • Accounts · 0 to 1
        Sep 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $0 to $2.0M
        Sep 26, 2014 to Mar 30, 2015
      • RAUM · $0 to $2.0M
        Sep 26, 2014 to Mar 30, 2015
      • Related broker-dealer · false to true
        May 15, 2014 to Sep 26, 2014
      Signals
      2 dated events
      • M••••••••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Apr 30, 2015 · Succession (Item 4) · fact
      • M••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
        May 15, 2014 · 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