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• G••••••• I••••••••• S•••••••• I•••
Latest filing Mar 26, 2018
First filing on the tape Dec 12, 2011 · 33 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
57%
$861M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.5B as of Mar 15, 2018
Mar 23, 2012$344M then
HNW client RAUM: $424M
State-registered IARs (5.B.3)17 as of Mar 15, 2018
Mar 23, 20120 then
Employees (5.A)21 as of Mar 15, 2018
Mar 14, 201316 then
Private funds: no history
RAUM +19% over the last fiscal year+14% a year over threeIARs 14 to 17
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
- RAUM per advisor
- $88.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 168derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $659,481derivedHNW RAUM over HNW clients
- Average account
- $512,684derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 17.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $906MreportedItem 5.I
- Custody
- $906M, 2,900 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Pension and profit-sharing plans$596M40%
- Individuals$437M29%
- High-net-worth individuals$424M28%
- Corporations and businesses$27.6M1.8%
- Charitable organizations$17.3M1.2%
- Individual clients
- 2,219reported
- HNW clients
- 643reported
- Pension plan clients
- 29reported
- Charitable clients
- 27reported
- Accounts
- 2,931reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $224M sponsored, $0 managedreported
- Custody of client assets
- $906M for 2,900 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
- J•• M•••••• E••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- M•••••• D•••• S••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- Z•••••• D• M•••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- H••••••• M•••• G••••• W•••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- M•••••• A••••• S••••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- S•••• A••• G••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- M•••••• A••• M•••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- M•••••• J•••• S••••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- T•••••• M•••• F••••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
- J•••• J• T••• to R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · RIA to RIA
Joined, latest
- J•••• J• T••• from H••• S••••••••• •••• I•••Jul 19, 2012 · Other
- H••••••• M•••• G••••• W•••••• from R•• C•••••• M••••••• L••May 22, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for R••••• W• B•••• • C•• I•••••••••Dec 12, 2018 · New Hartford, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• D•••• T••••• · Presidentcontrolsince 05/1973 · owns less than 5%
- G•••••••• D•••• T••••• · Shareholdercontrolsince 12/2004 · owns 50% to 75% of M•• A••••••••• I•••
- C••••••••• C•••••••• A•• · Chief Operating Officersince 03/2005 · owns less than 5%
- G•••••••• J•••• N••••• · Directorsince 12/2015 · owns less than 5%
- G••••••••• M••• L•••••• · Corporate Secretarysince 01/2015 · owns less than 5%
Entity owners
- M•• A••••••••• I••• · Shareholderdirect · owns 75% or more
- M• G••••••• I••••••••• S••••••• E••••••• S•••• O•••••••• P••• · Shareholderindirect · owns 25% to 50% of M•• A••••••••• I•••
Related persons
Schedule D 7.A
- M• G••••••• I••••••••• S•••••••• I•••broker-dealerinvestment adviserreal estateyRAUM $1.5B
Advisers that list M• G••••••• I••••••••• S•••••••• I••• as a related person
- 2078 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,590 to 2,931Sep 11, 2017 to Mar 15, 2018
- Advisory employees · 14 to 17Sep 11, 2017 to Mar 15, 2018
- BD registered reps · 22 to 21Sep 11, 2017 to Mar 15, 2018
- Charity clients · unset to 27.0Sep 11, 2017 to Mar 15, 2018
- Corporate clients · unset to 13.0Sep 11, 2017 to Mar 15, 2018
- HNW clients · unset to 643.0Sep 11, 2017 to Mar 15, 2018
- Individual clients · unset to 2219.0Sep 11, 2017 to Mar 15, 2018
- Pension plan clients · unset to 29.0Sep 11, 2017 to Mar 15, 2018
- Pooled vehicle clients · unset to 0.0Sep 11, 2017 to Mar 15, 2018
- Assets in custody · $740M to $906MSep 11, 2017 to Mar 15, 2018
- Employees · 22 to 21Sep 11, 2017 to Mar 15, 2018
- State-registered IARs · 14 to 17Sep 11, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Sep 11, 2017 to Mar 15, 2018
- Discretionary RAUM · $436M to $682MSep 11, 2017 to Mar 15, 2018
- HNW RAUM · unset to 424046563.0Sep 11, 2017 to Mar 15, 2018
- Individual RAUM · unset to 437371911.0Sep 11, 2017 to Mar 15, 2018
- Non-discretionary RAUM · $826M to $821MSep 11, 2017 to Mar 15, 2018
- Pension RAUM · unset to 596296028.0Sep 11, 2017 to Mar 15, 2018
- RAUM · $1.3B to $1.5BSep 11, 2017 to Mar 15, 2018
- Related adviser · false to trueSep 11, 2017 to Mar 15, 2018
- Wrap assets (manager) · unset to 0.0Sep 11, 2017 to Mar 15, 2018
- Wrap assets (sponsor) · unset to 223757741.0Sep 11, 2017 to Mar 15, 2018
- Accounts · 2,420 to 2,590Oct 28, 2016 to Feb 16, 2017
- Advisory employees · 13 to 14Oct 28, 2016 to Feb 16, 2017
- BD registered reps · 20 to 22Oct 28, 2016 to Feb 16, 2017
- Assets in custody · $658M to $740MOct 28, 2016 to Feb 16, 2017
- Employees · 20 to 22Oct 28, 2016 to Feb 16, 2017
- State-registered IARs · 13 to 14Oct 28, 2016 to Feb 16, 2017
- Discretionary RAUM · $340M to $436MOct 28, 2016 to Feb 16, 2017
- Non-discretionary RAUM · $800M to $826MOct 28, 2016 to Feb 16, 2017
- RAUM · $1.1B to $1.3BOct 28, 2016 to Feb 16, 2017
- Accounts · 2,136 to 2,420Feb 1, 2016 to Feb 11, 2016
- Discretionary RAUM · $305M to $340MFeb 1, 2016 to Feb 11, 2016
- Non-discretionary RAUM · $707M to $800MFeb 1, 2016 to Feb 11, 2016
- RAUM · $1.0B to $1.1BFeb 1, 2016 to Feb 11, 2016
- Assets in custody · $1.0B to $658MFeb 11, 2016 to Feb 11, 2016
- Accounts · 1,831 to 2,136Feb 2, 2015 to Mar 5, 2015
- Advisory employees · 11 to 13Feb 2, 2015 to Mar 5, 2015
- BD registered reps · 18 to 20Feb 2, 2015 to Mar 5, 2015
- Assets in custody · $474M to $1.0BFeb 2, 2015 to Mar 5, 2015
Signals
No event on the tape.
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