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.
SEC-registered adviser
Mason Wells, Inc.
Latest filing Mar 30, 2026
First filing on the tape Oct 8, 2014 · 15 filings
SEC status approved since Oct 28, 2014
RAUM
$1.4B
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
22
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 31, 2015$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20150 then
Employees (5.A)22 as of Mar 30, 2026
Mar 31, 201513 then
Private funds4 as of Mar 30, 2026
Mar 31, 20152 then
RAUM -26% over the last fiscal year-9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $355MderivedRAUM 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
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.4B, 4 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)
- 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
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Mason Wells Buyout Fund IV, LP | Private Equity Fund | $1.3B | 52 | Nov 16, 2015 |
| Mason Wells Buyout Fund V, LP | Private Equity Fund | $686M | 101 | Aug 25, 2020 |
| Mw Buyout Executive Fund IV, LLC | Private Equity Fund | $62.7M | 69 | Mar 21, 2016 |
| Mw Buyout Executive Fund V, LLC | Private Equity Fund | $35.5M | 87 | Aug 25, 2020 |
| Mason Wells Buyout Fund III, LP | Private Equity Fund | $24.4M | 32 | Feb 14, 2012 |
| Mw Buyout Executive Fund III, LLC | Private Equity Fund | $1.7M | 63 | Oct 8, 2014 |
| Mw Buyout Executive Fund II, LLCno longer reported | Private Equity Fund | $486,782 | 32 | Oct 8, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Gordon Thomas Smith · Chairman, President, And Chief Executive Officercontrolsince 01/2016 · owns 50% to 75%
- S James Domach · Vice President, Chief Financial Officer, Chief Compliance Officer And Assistant Secretarysince 12/2001 · owns 5% to 10%
- Deborah Figueroa · Corporate Secretarysince 12/2017 · owns less than 5%
- Lincoln Benjamin Holbrook · Vice Presidentsince 12/2019 · owns 5% to 10%
- P Kevin Kenealey · Vice Presidentsince 12/2001 · owns 10% to 25%
- J Jay Radtke · Vice Presidentsince 12/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $1,927,528,342 to $1,420,286,011 (-26.0%) between the annual amendments of 2025-03-25 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 4.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 4.2% percentile
What changed
consecutive filings, newest first
- Advisory employees · 19 to 20Mar 25, 2025 to Mar 30, 2026
- Assets in custody · $1.9B to $1.4BMar 25, 2025 to Mar 30, 2026
- Employees · 21 to 22Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $1.4BMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.9B to $1.4BMar 25, 2025 to Mar 30, 2026
- RAUM · $1.9B to $1.4BMar 25, 2025 to Mar 30, 2026
- Accounts · 6 to 4Mar 25, 2024 to Mar 25, 2025
- Advisory employees · 20 to 19Mar 25, 2024 to Mar 25, 2025
- Pooled vehicle clients · 6 to 4Mar 25, 2024 to Mar 25, 2025
- Assets in custody · $1.9B to $1.9BMar 25, 2024 to Mar 25, 2025
- Employees · 22 to 21Mar 25, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 25, 2025
- Private funds · 6 to 4Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $2.1B to $1.9BMar 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $2.1B to $1.9BMar 25, 2024 to Mar 25, 2025
- RAUM · $2.1B to $1.9BMar 25, 2024 to Mar 25, 2025
- Advisory employees · 18 to 20Mar 23, 2023 to Mar 25, 2024
- Employees · 20 to 22Mar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.9B to $2.1BMar 23, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.9B to $2.1BMar 23, 2023 to Mar 25, 2024
- RAUM · $1.9B to $2.1BMar 23, 2023 to Mar 25, 2024
- Assets in custody · $2.0B to $1.9BMar 25, 2022 to Mar 23, 2023
- Discretionary RAUM · $2.0B to $1.9BMar 25, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $2.0B to $1.9BMar 25, 2022 to Mar 23, 2023
- RAUM · $2.0B to $1.9BMar 25, 2022 to Mar 23, 2023
- Advisory employees · 17 to 18Mar 23, 2021 to Mar 25, 2022
- Assets in custody · $2.0B to $2.0BMar 23, 2021 to Mar 25, 2022
- Employees · 19 to 20Mar 23, 2021 to Mar 25, 2022
- Discretionary RAUM · $2.0B to $2.0BMar 23, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $2.0B to $2.0BMar 23, 2021 to Mar 25, 2022
- RAUM · $2.0B to $2.0BMar 23, 2021 to Mar 25, 2022
- Assets in custody · $826M to $2.0BAug 25, 2020 to Mar 23, 2021
- Discretionary RAUM · $826M to $2.0BAug 25, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $826M to $2.0BAug 25, 2020 to Mar 23, 2021
- RAUM · $826M to $2.0BAug 25, 2020 to Mar 23, 2021
- Private funds · 4 to 6Apr 29, 2020 to Aug 25, 2020
- Advisory employees · 16 to 17Mar 24, 2020 to Apr 29, 2020
- Employees · 18 to 19Mar 24, 2020 to Apr 29, 2020
- Private funds · 3 to 4Mar 24, 2020 to Apr 29, 2020
- Related adviser · true to falseMar 24, 2020 to Apr 29, 2020
Signals
4 dated events
- Mason Wells, Inc. reported RAUM $1.4B, down 26% from $1.9B (2025-03-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Mason Wells, Inc. reported RAUM $2.0B, up 146% from $825.6M (2020-08-25 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- Mason Wells, Inc. reported RAUM $825.6M, down 28% from $1.1B (2019-03-25 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- Mason Wells, Inc. filed its initial SEC registration (Form ADV)Oct 8, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Mason Wells, Inc. · Independent Sponsorsshared crd · capital_provider
- Mason Wells, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/mason-wells-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- MASONWELLS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-727-6400reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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