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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
W••••• M••••••••• C••••••••• C•••••••• L••
Latest filing Oct 16, 2025
First filing on the tape Feb 23, 2016 · 24 filings
SEC status approved since Mar 1, 2016
RAUM
$303M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$303M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$303M as of Oct 16, 2025
Feb 15, 2017$148M then
HNW client RAUM$301M as of Oct 16, 2025
Mar 1, 2018$159M then
State-registered IARs (5.B.3)1 as of Oct 16, 2025
Feb 15, 20171 then
Employees (5.A)2 as of Oct 16, 2025
Feb 15, 20171 then
Private funds: no history
RAUM +3.5% over the last fiscal year+0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 16, 2025; every figure names its basis
- RAUM per advisor
- $303MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $20.7M, 12 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$301M99%
- Individuals$1.9M0.6%
- Individual clients
- 6reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 167reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.7M for 12 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- M••• E•••••• M•••••• to S•••••••• A•••••••• L••Jan 16, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M•••• E•••••• · Managing Member, Chief Compliance Officercontrolsince 04/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Insurance-licensed employees · 0 to 1Mar 18, 2025 to Oct 16, 2025
- Accounts · 180 to 167Mar 18, 2024 to Mar 18, 2025
- HNW clients · 40 to 36Mar 18, 2024 to Mar 18, 2025
- Assets in custody · $3.8M to $20.7MMar 18, 2024 to Mar 18, 2025
- Financial planning clients · 26-50 to 26-50Mar 18, 2024 to Mar 18, 2025
- Discretionary RAUM · $236M to $266MMar 18, 2024 to Mar 18, 2025
- HNW RAUM · $290M to $301MMar 18, 2024 to Mar 18, 2025
- Individual RAUM · $1.9M to $1.9MMar 18, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $56.2M to $36.3MMar 18, 2024 to Mar 18, 2025
- RAUM · $292M to $303MMar 18, 2024 to Mar 18, 2025
- Accounts · 177 to 180Dec 11, 2023 to Mar 18, 2024
- HNW clients · 45 to 40Dec 11, 2023 to Mar 18, 2024
- Assets in custody · unset to 3818317.0Dec 11, 2023 to Mar 18, 2024
- Custody of client assets · false to trueDec 11, 2023 to Mar 18, 2024
- Financial planning clients · 51-100 to 26-50Dec 11, 2023 to Mar 18, 2024
- Discretionary RAUM · $201M to $236MDec 11, 2023 to Mar 18, 2024
- HNW RAUM · $252M to $290MDec 11, 2023 to Mar 18, 2024
- Individual RAUM · $1.0M to $1.9MDec 11, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $51.5M to $56.2MDec 11, 2023 to Mar 18, 2024
- RAUM · $253M to $292MDec 11, 2023 to Mar 18, 2024
- Employees · 1 to 2Mar 23, 2023 to Dec 11, 2023
- Accounts · 182 to 177Nov 17, 2022 to Mar 23, 2023
- HNW clients · 40 to 45Nov 17, 2022 to Mar 23, 2023
- Discretionary RAUM · $236M to $201MNov 17, 2022 to Mar 23, 2023
- HNW RAUM · $292M to $252MNov 17, 2022 to Mar 23, 2023
- Individual RAUM · $3.1M to $1.0MNov 17, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $58.9M to $51.5MNov 17, 2022 to Mar 23, 2023
- RAUM · $295M to $253MNov 17, 2022 to Mar 23, 2023
- Accounts · 149 to 182Aug 5, 2021 to Mar 30, 2022
- HNW clients · 37 to 40Aug 5, 2021 to Mar 30, 2022
- Discretionary RAUM · $206M to $236MAug 5, 2021 to Mar 30, 2022
- HNW RAUM · $203M to $292MAug 5, 2021 to Mar 30, 2022
- Individual RAUM · $2.9M to $3.1MAug 5, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $0 to $58.9MAug 5, 2021 to Mar 30, 2022
- RAUM · $206M to $295MAug 5, 2021 to Mar 30, 2022
- HQ city · DENVER to THE WOODLANDSApr 2, 2021 to Aug 5, 2021
- HQ state · CO to TXApr 2, 2021 to Aug 5, 2021
- Accounts · 138 to 149Feb 24, 2021 to Mar 30, 2021
- HNW clients · 32 to 37Feb 24, 2021 to Mar 30, 2021
- Discretionary RAUM · $179M to $206MFeb 24, 2021 to Mar 30, 2021
Signals
3 dated events
- W••••• M••••••••• C••••••••• C•••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $302.5M)Feb 2, 2026 · Left the SEC roster · derived
- M••• E•••••• M•••••• left W••••• M••••••••• C••••••••• C•••••••• L•• for S•••••••• A•••••••• L•• (registered 2025-09-30)Jan 16, 2026 · Advisor changed firm · fact
- W••••• M••••••••• C••••••••• C•••••••• L•• filed its initial SEC registration (Form ADV)Feb 23, 2016 · 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