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.

SEC-registered adviser

M•••••• A••••• S••••••••• L••

Broker-dealer affiliated wealth managerSan Diego, CaliforniaCRD 23224SEC 801-69919website IAPD

Latest filing Sep 3, 2026

First filing on the tape Mar 2, 2012 · 68 filings

SEC status approved since Feb 24, 2009

RAUM

$2.0B

reported, Item 5.F

Discretionary

79%

of RAUM

Private clients

100%

$2.0B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$20.8M

derived; firm RAUM over IAPD count

Employees

125

81 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

68 filings and snapshots on the tape

RAUM$2.0B as of May 6, 2026

Mar 2, 2012$252M then

HNW client RAUM$273M as of May 6, 2026

Feb 9, 2024$180M then

State-registered IARs (5.B.3)85 as of May 6, 2026

Mar 2, 20120 then

Employees (5.A)125 as of May 6, 2026

Jan 17, 2013102 then

Private funds: no history

RAUM -1.0% over the last fiscal year+7.6% a year over threeIARs 85 to 85offices 58 to 56

Practice profile

derived from the filing of Sep 3, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $20.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 144derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $497,353derivedHNW RAUM over HNW clients
Average account: $143,232derivedRAUM over accounts (5.F.2.f)
Discretionary: 79%derivedof RAUM
Institutional: 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.7derived57 offices incl. principal (1.F.5)
RAUM growth, one year: -1.0%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -2.9%derived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program: $1.6BreportedItem 5.I
Custody: $270M, 960 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)
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)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$1.7B86%
High-net-worth individuals$273M13%
Pension and profit-sharing plans$4.5M0.2%
Charitable organizations$2.1M0.1%

Individual clients: 13,536reported
HNW clients: 548reported
Pension plan clients: 5reported
Charitable clients: 10reported
Accounts: 14,099reported
Financial planning clients: 51-100reported
Wrap fee programs: $1.6B sponsored, $0 managedreported
Custody of client assets: $270M for 960 clientsreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=86.0derived

Advisors registered through the firm

96 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••••• T•••••••	San Diego, Ca	Mar 25, 2009	22 y	1
J•••• A••••• G••••	Skokie,, Il	Mar 25, 2009	31 y	1
C••••••••• M•••••• L••••••••	Kennewick, Wa	Mar 25, 2009	20 y	1
L••••• A••••• C•••••••	Prairie Village, Ks	Mar 25, 2009	30 y	3
E••• H•••••	Beachwood, Oh	Mar 25, 2009	34 y	2
R•••••• J•• G••••Certified Financial Planner	San Diego, Ca	Mar 25, 2009	36 y	1
G••••• E••••• A•••••Certified Financial Planner, Chartered Financial Consultant	Bourbonnais, Il	Mar 25, 2009	40 y	2
V••••••••• F•••••	San Diego, Ca	Mar 25, 2009	22 y	2
M••• W•••••••• R•••••••	Tijeras, Nm	Mar 25, 2009	30 y	2
M••••• W•••••• M•••••	San Diego, Ca	Mar 25, 2009	27 y	1
J•••• A••••• S•••••Certified Financial Planner	O••••••, Fl	Apr 9, 2009	38 y	1
M••••• N••••• P•••••Certified Financial Planner	San Diego, Ca	Jul 21, 2009	26 y	1
R••••• P••• S••••••••	San Diego, Ca	Apr 27, 2011	33 y	0
D••••• A••• N••••••	San Diego, Ca	Jul 13, 2011	17 y	0
M••• B•••••• H•••••••••	San Diego, Ca	Aug 22, 2011	53 y	0
D••••• A••• C••••Chartered Financial Consultant	San Diego, Ca	Dec 16, 2011	46 y	1
J••••• D•••• D•••••	Ft. Mitchell, Ky	Jan 3, 2012	30 y	1
B•••• K•••• M••••	Albuquerque, Nm	Jan 4, 2012	37 y	0
J••• M•••••• H•••	Greencastle, Pa	Feb 16, 2012	17 y	0
P••• D••••• S•••••••	San Diego, Ca	Aug 7, 2012	24 y	1
J••••• V••••• L••	Lewiston, Id	Aug 7, 2012	38 y	1
K•••••• D•••• L•••••	Fontana, Wi	Oct 22, 2013	30 y	3
A•••••• V••••••• S•••••••	San Diego, Ca	Apr 8, 2014	17 y	0
M•••••• I•• O••••	San Diego, Ca	May 22, 2014	14 y	0
M•••••• A••• M•••••	San Diego, Ca	Dec 8, 2015	16 y	1
D••••• L• A•••••	Winter Park, Fl	Aug 1, 2016	13 y	1
T••• J••••••• L••••••••Certified Financial Planner	San Diego, Ca	Aug 2, 2016	23 y	1
C•••••••• J••• D•••••••	San Diego, Ca	Nov 18, 2016	18 y	1
P•••••• W•••• A••••	San Diego, Ca	Feb 10, 2017	34 y	1
M••• S••••• K•••••	Washington Cr•••Ing, Pa	Sep 25, 2017	40 y	4
W••••• A••••• P•••••	Greenville, Sc	Nov 6, 2017	11 y	0
C•••• L••• P•••••••••Certified Financial Planner	San Diego, Ca	Nov 28, 2017	24 y	0
J••• P••• F••••••Certified Financial Planner	San Diego, Ca	Jan 11, 2018	12 y	0
P•••••• C•••••• A••••	San Diego, Ca	Mar 27, 2018	41 y	0
P•••••• C••••••••• R•••••	San Diego, Ca	Jul 16, 2018	11 y	1
R••••• L••• A•••••	Kingsburg, Ca	Jul 30, 2018	34 y	0
D••••• C• Z••••Certified Financial Planner	Greenville, Sc	Aug 10, 2018	10 y	0
J•• S•••• K•••••	Delray Beach, Fl	Dec 26, 2018	11 y	2
R••• O•••••	Olathe, Ks	Jun 28, 2019	15 y	2
C••••••• R••• P••••	San Diego, Ca	Jul 9, 2019	25 y	0

All 96 advisors at M•••••• A••••• S••••••••• L••

Advisor movement

6 left, 9 joined in 12 months

net +3 in 12 months1 left in 90 days6 joined in 90 daysdeparture rate 6.2% of current headcount14 left over 36 months

Left, latest

M••• A•••••• S•••••• to C••••• I••••••••• A••••••• L••
Jul 8, 2026 · Affiliated broker-dealer or bank to another
A••• R•••••• T•• to A• W••••• M••••••••• L••
Feb 27, 2026 · Affiliated broker-dealer or bank to another
S•••••• O•• to F•••• C•••••• A••••••• S•••••••
Jan 12, 2026 · Affiliated broker-dealer or bank to another
B•••• E••••• C••••• to W••••• W•••• A•••••••• I••
Dec 31, 2025 · Affiliated broker-dealer or bank to independent RIA
J••••• A•••••• to B•• F•••••••• A•••••••
Nov 20, 2025 · Affiliated broker-dealer or bank to another
K•••• L•• G•••••• to W••••• W•••• A•••••••• I••
Oct 10, 2025 · Affiliated broker-dealer or bank to independent RIA
A••••• C••• N•••••••• to L•• F•••••••• L••
Sep 15, 2025 · Affiliated broker-dealer or bank to another
T••••• R••• D•••• to N••• F•••••• I••••••••• S•••••••• L••
Jun 6, 2025 · Affiliated broker-dealer or bank to another
R••••• J•••• S••••• to M••••• S••••••
Feb 10, 2025 · Affiliated broker-dealer or bank to wirehouse
L•••• J• V•••••• to M••••• S••••••
Dec 23, 2024 · Affiliated broker-dealer or bank to wirehouse
H••••• E•••••••• S••••••• to F••••••••• I••••••••• A••••••• L••
Jul 1, 2024 · Affiliated broker-dealer or bank to independent RIA
R•••••• D•••• W••••••• to F••••••••• I••••••••• A••••••• L••
Jul 1, 2024 · Affiliated broker-dealer or bank to independent RIA
V•••••• A•••••• V•••• to A• W••••• M••••••••• L••
Dec 18, 2023 · Affiliated broker-dealer or bank to another
S••••• L••••• F••••• to I• F•••••••• A••••••• S••••••• L••
Dec 15, 2023 · Affiliated broker-dealer or bank to another
C•••• C•••••• S•••• to I••••••••• F•••••••• P•••••••
Aug 30, 2023 · Affiliated broker-dealer or bank to another

Joined, latest

G•••••• J••••• M•••••• from O••••••••• S••••••••• I•••
Sep 1, 2026 · Affiliated broker-dealer or bank to another
C•••• L••• J••••••• from O••••••••• S••••••••• I•••
Jul 16, 2026 · Affiliated broker-dealer or bank to another
N••••••• T••• S•••• from O••••••••• S••••••••• I•••
Jul 15, 2026 · Affiliated broker-dealer or bank to another
C••••••••• S••••• from O••••••••• S••••••••• I•••
Jul 10, 2026 · Affiliated broker-dealer or bank to another
B•••••• L• B••••••••• from O••••••••• S••••••••• I•••
Jul 10, 2026 · Affiliated broker-dealer or bank to another
E••••• F•••••• N••••• from O••••••••• S••••••••• I•••
Jul 9, 2026 · Affiliated broker-dealer or bank to another
S••••• A••••• C••••••••• from T••••••••• F•••••••• A•••••••• L••
Jun 15, 2026 · Affiliated broker-dealer or bank to another
R••• D••• M••••• from L•• F•••••••• L••
Jun 1, 2026 · Affiliated broker-dealer or bank to another
M••• A•••••• S•••••• from M•• I•••••••• S•••••••• L••
Jan 26, 2026 · Affiliated broker-dealer or bank to another
C•••••• D• D•••• from E••••• J••••
Sep 16, 2025 · Affiliated broker-dealer or bank to another
J••••• A•••••• from T•• A•••••••• G••••
Jul 2, 2025 · Affiliated broker-dealer or bank to another
P•••••• D••••• K••••• from O•••• W•••••• I•••
Apr 14, 2025 · Affiliated broker-dealer or bank to another
S•••••• O•• from L•• F•••••••• L••
Dec 17, 2024 · Affiliated broker-dealer or bank to another
K••••••• I••• T•• P•• B••• from R•••••• W••••• A•••••••• I•••
Nov 6, 2024 · RIA to affiliated broker-dealer or bank
Q•••••• P••••• from P•• A••••••• S•••••••• L••
Nov 5, 2024 · RIA to affiliated broker-dealer or bank

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for F••••••••• I••••••••• A••••••• L••
Jul 1, 2024 · Indianapolis, In
2 left for A• W••••• M••••••••• L••
Dec 31, 2022 · Naples, Fl
3 left for A• W••••• M••••••••• L••
Aug 3, 2020 · Clackamas, Or
2 left for C••••••••• F•••••••• N••••••
May 31, 2019 · Walnut Creek, Ca
2 left for A• W••••• M••••••••• L••
Nov 12, 2018 · Topeka, Ks
2 left for A••••••• A••••••• S•••••••
Mar 15, 2018 · Atlanta, Ga
2 left for R•••••• W••••• A•••••••• I•••
Jan 8, 2018 · Tulsa, Ok

3 joined from O••••••••• S••••••••• I•••
Jun 26, 2026 · Indianapolis, In
2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••
Jul 21, 2022 · Bloomfield Hills, Mi
2 joined from U•• F•••••••• S••••••••• L••
Sep 26, 2019 · Fishers, In
2 joined from P••••••••• S••••••••• C•••••••••
Jul 28, 2016 · Clermont, Fl

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• V••••••••• · Chief Operating Officercontrol
since 04/2025 · owns less than 5%
J•••••• G••• M•••• · Chief Compliance Officercontrol
since 09/2018 · owns less than 5%
M•••••••• L•••• A•• · Finopcontrol
since 05/2021 · owns less than 5%
M•••••• M••••• W•••••• · Presidentcontrol
since 09/2017 · owns less than 5%
P••••••• M•••••• K•• · Chief Compliance Officercontrol
since 04/2025 · owns less than 5%
W••••• S••••• A•• · Finopcontrol
since 10/2025 · owns less than 5%
C•••••••• D•••• J•••• · Manager
since 03/2015 · owns less than 5%
F•••••• C••• G•••• · Member
since 12/2016 · owns less than 5%
S•••••••• J••••••• · Member
since 11/2012 · owns less than 5%
T•••••••• D•••• J•••• · Member
since 03/2015 · owns less than 5%
C•••••••• D•••• J•••• · LLC Member
since 12/2016 · owns 25% to 50% of D•• H•••••••• L••
F•••••• C••• G•••• · LLC Member
since 12/2016 · owns 25% to 50% of D•• H•••••••• L••
T•••••••• D•••• J•••• · Trustee And LLC Member
since 01/2018 · owns 25% to 50% of T•• D•••• J• T••••••• T••••• U•• D•••• J•••••• 2•• 2•••

Entity owners

K• E••••• P••••••• I•• L•• · Direct Owner
direct · owns 75% or more
M•••••••• I••• · Owner
direct · owns less than 5%
D•• H•••••••• L•• · Indirect Owner
indirect · owns 75% or more of K• E••••• P••••••• I•• L••
T•• D•••• J• T••••••• T••••• U•• D•••• J•••••• 2•• 2••• · Indirect Owner
indirect · owns 25% to 50% of Kt Equity Partners, II

Related persons

Schedule D 7.A

A• W••••• M••••••••• L••
investment advisernRAUM $50B

Advisers that list M•••••• A••••• S••••••••• L•• as a related person

282580 n
309023 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
San Diego, Ca · principal	95	12	4
Greenville, Sc	7	2	0
Atlanta, Ga	5	0	0
Cantonment, Fl	4	4	0
Los Angeles, Ca	4	0	0
Ocean View, Nj	4	0	0
Albuquerque, Nm	3	0	1
Bloomfield Hills, Mi	3	0	0
El Paso, Tx	3	0	0
Evansville, In	3	1	0
Las Cruces, Nm	3	0	0
Macon, Ga	3	0	0
Ruidoso, Nm	3	0	0
Lansing, Mi	2	1	0
Suwanee, Ga	2	0	0
Winter P•••, Fl	2	0	0
Coeur Dalene, Id	2	0	0
Lewiston, Id	2	0	0
Lenexa, Ks	2	2	0
New York, Ny	2	0	0

Offices

Schedule D 1.F, the 25 largest

Winter P•••, FL12 employees
Greenville, SC11 employees
Skokie, IL10 employees
Macon, GA4 employees
Dublin, GA4 employees
Atlanta, GA4 employees
Ocean View, NJ3 employees
Ruidoso, NM3 employees
Bloomfield Hills, MI3 employees
Albuquerque, NM3 employees
El Paso, TX3 employees
Santa Rosa Beach, FL2 employees
Evansville, IN2 employees
Mountaintop, PA2 employees
Brentwood, TN2 employees
Lewiston, ID2 employees
Suwanee, GA2 employees
Clover, SC2 employees
Coeur D'Alene, ID2 employees
Brielle, NJ1 employees
Boca Raton, FL1 employees
Los Angeles, CA1 employees
Burien, WA1 employees
, 1 employees
, 1 employees

ADV anomalies

6 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Sep 3, 2026
P••••••• M•••••• K•• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-03-14 and 2026-09-03
peers: affiliated wealth managers, $1B to $5B (56)
control person changedChange between filings · filing Sep 3, 2026
F•••••• V••••••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2022-03-14 and 2026-09-03
peers: affiliated wealth managers, $1B to $5B (56)
control person changedChange between filings · filing Sep 3, 2026
W••••• S••••• A•• (FINOP) appeared on Schedule A between the filings of 2022-03-14 and 2026-09-03
peers: affiliated wealth managers, $1B to $5B (56)
control person changedChange between filings · filing Sep 3, 2026
M•••••••• L•••• A•• (FINOP) left Schedule A between the filings of 2022-03-14 and 2026-09-03
peers: affiliated wealth managers, $1B to $5B (56)
control person changedChange between filings · filing Sep 3, 2026
J•••••• G••• M•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-03-14 and 2026-09-03
peers: affiliated wealth managers, $1B to $5B (56)
discretionary share shiftChange between filings · filing Mar 31, 2026
discretionary share of RAUM moved from 58.0% to 79.0% between the annual amendments of 2025-04-15 and 2026-03-31
peers: affiliated wealth managers, $1B to $5B (56)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · 51-100 to 51-100
May 6, 2026 to Sep 3, 2026
Succession · false to unset
May 6, 2026 to Sep 3, 2026
Accounts · 14,100 to 14,099
Oct 17, 2025 to Mar 31, 2026
Advisory employees · 76 to 81
Oct 17, 2025 to Mar 31, 2026
BD registered reps · 90 to 86
Oct 17, 2025 to Mar 31, 2026
HNW clients · 412 to 548
Oct 17, 2025 to Mar 31, 2026
Individual clients · 14,100 to 13,536
Oct 17, 2025 to Mar 31, 2026
Pension plan clients · 6 to 5
Oct 17, 2025 to Mar 31, 2026
Assets in custody · unset to 270142824.0
Oct 17, 2025 to Mar 31, 2026
Custody of client assets · false to true
Oct 17, 2025 to Mar 31, 2026
Employees · 93 to 125
Oct 17, 2025 to Mar 31, 2026
Other offices · 58 to 56
Oct 17, 2025 to Mar 31, 2026
Discretionary RAUM · $1.2B to $1.6B
Oct 17, 2025 to Mar 31, 2026
HNW RAUM · $169M to $273M
Oct 17, 2025 to Mar 31, 2026
Individual RAUM · $1.8B to $1.7B
Oct 17, 2025 to Mar 31, 2026
Non-discretionary RAUM · $852M to $431M
Oct 17, 2025 to Mar 31, 2026
Pension RAUM · $3.2M to $4.5M
Oct 17, 2025 to Mar 31, 2026
RAUM · $2.0B to $2.0B
Oct 17, 2025 to Mar 31, 2026
Wrap assets (sponsor) · $1.2B to $1.6B
Oct 17, 2025 to Mar 31, 2026
Financial planning clients · 51-100 to 51-100
Apr 15, 2025 to May 7, 2025
Accounts · 13,989 to 14,100
Jan 30, 2025 to Apr 15, 2025
Advisory employees · 75 to 76
Jan 30, 2025 to Apr 15, 2025
Charity clients · 3 to 10
Jan 30, 2025 to Apr 15, 2025
HNW clients · 318 to 412
Jan 30, 2025 to Apr 15, 2025
Individual clients · 13,667 to 14,100
Jan 30, 2025 to Apr 15, 2025
Pension plan clients · 1 to 6
Jan 30, 2025 to Apr 15, 2025
Employees · 102 to 93
Jan 30, 2025 to Apr 15, 2025
Insurance-licensed employees · 2 to 1
Jan 30, 2025 to Apr 15, 2025
Financial planning clients · 101-250 to 51-100
Jan 30, 2025 to Apr 15, 2025
Discretionary RAUM · $1.2B to $1.2B
Jan 30, 2025 to Apr 15, 2025
HNW RAUM · $180M to $169M
Jan 30, 2025 to Apr 15, 2025
Individual RAUM · $1.6B to $1.8B
Jan 30, 2025 to Apr 15, 2025
Non-discretionary RAUM · $665M to $852M
Jan 30, 2025 to Apr 15, 2025
Pension RAUM · $3.2M to $3.2M
Jan 30, 2025 to Apr 15, 2025
RAUM · $1.8B to $2.0B
Jan 30, 2025 to Apr 15, 2025
Wrap assets (sponsor) · $1.1B to $1.2B
Jan 30, 2025 to Apr 15, 2025
Accounts · 13,595 to 13,989
Aug 21, 2023 to Feb 9, 2024
Advisory employees · 77 to 75
Aug 21, 2023 to Feb 9, 2024
Charity clients · unset to 3.0
Aug 21, 2023 to Feb 9, 2024
HNW clients · unset to 318.0
Aug 21, 2023 to Feb 9, 2024

Signals

38 dated events

Jeffery Wagner added a CA registration at M•••••• A••••• S••••••••• L••
Sep 16, 2026 · New state registration · fact
Jeffery Wagner added a KS registration at M•••••• A••••• S••••••••• L••
Sep 15, 2026 · New state registration · fact
M••• A•••••• S•••••• left M•••••• A••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-08-11)
Jul 8, 2026 · advisor f••• change · fact
2 advisors left O••••••••• S••••••••• I••• (Indianapolis, IN) for M•••••• A••••• S••••••••• L•• on the same day
Jun 26, 2026 · Team lift-out · derived
A••• R•••••• T•• left M•••••• A••••• S••••••••• L•• for A• W••••• M••••••••• L•• (registered 2025-09-10)
Feb 27, 2026 · advisor f••• change · fact
S•••••• O•• left M•••••• A••••• S••••••••• L•• for F•••• C•••••• A••••••• S••••••• (registered 2026-01-20)
Jan 12, 2026 · advisor f••• change · fact
B•••• E••••• C••••• left M•••••• A••••• S••••••••• L•• for W••••• W•••• A•••••••• I•• (registered 2026-01-05)
Dec 31, 2025 · advisor f••• change · fact
J••••• A•••••• left M•••••• A••••• S••••••••• L•• for B•• F•••••••• A••••••• (registered 2026-01-12)
Nov 20, 2025 · advisor f••• change · fact
K•••• L•• G•••••• left M•••••• A••••• S••••••••• L•• for W••••• W•••• A•••••••• I•• (registered 2026-02-17)
Oct 10, 2025 · advisor f••• change · fact
A••••• C••• N•••••••• left M•••••• A••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2025-09-16)
Sep 15, 2025 · advisor f••• change · fact
T••••• R••• D•••• left M•••••• A••••• S••••••••• L•• for N••• F•••••• I••••••••• S•••••••• L•• (registered 2025-08-08)
Jun 6, 2025 · advisor f••• change · fact
R••••• J•••• S••••• left M•••••• A••••• S••••••••• L•• for M••••• S•••••• (registered 2025-02-27)
Feb 10, 2025 · advisor f••• change · fact
L•••• J• V•••••• left M•••••• A••••• S••••••••• L•• for M••••• S•••••• (registered 2026-02-13)
Dec 23, 2024 · advisor f••• change · fact
H••••• E•••••••• S••••••• left M•••••• A••••• S••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2024-07-01)
Jul 1, 2024 · advisor f••• change · fact
R•••••• D•••• W••••••• left M•••••• A••••• S••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2024-07-02)
Jul 1, 2024 · advisor f••• change · fact
2 advisors left M•••••• A••••• S••••••••• L•• (Indianapolis, IN) for F••••••••• I••••••••• A••••••• L•• on the same day
Jul 1, 2024 · Team lift-out · derived
V•••••• A•••••• V•••• left M•••••• A••••• S••••••••• L•• for A• W••••• M••••••••• L•• (registered 2023-04-30)
Dec 18, 2023 · advisor f••• change · fact
S••••• L••••• F••••• left M•••••• A••••• S••••••••• L•• for I• F•••••••• A••••••• S••••••• L•• (registered 2024-01-05)
Dec 15, 2023 · advisor f••• change · fact
C•••• C•••••• S•••• left M•••••• A••••• S••••••••• L•• for I••••••••• F•••••••• P••••••• (registered 2023-09-06)
Aug 30, 2023 · advisor f••• change · fact
S••••• M••••• H••••••• left M•••••• A••••• S••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2023-05-02)
May 1, 2023 · advisor f••• change · fact
C•••••• L• R••• left M•••••• A••••• S••••••••• L•• for O•••• I••••••••• I••• (registered 2023-03-16)
Mar 9, 2023 · advisor f••• change · fact
R••••• J•••• K••••• left M•••••• A••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-01-26)
Jan 24, 2023 · advisor f••• change · fact
C••••• C•••• C••• left M•••••• A••••• S••••••••• L•• for A• W••••• M••••••••• L•• (registered 2022-12-20)
Dec 31, 2022 · advisor f••• change · fact
W••••• D••• B••••••• left M•••••• A••••• S••••••••• L•• for A• W••••• M••••••••• L•• (registered 2023-01-04)
Dec 31, 2022 · advisor f••• change · fact
2 advisors left M•••••• A••••• S••••••••• L•• (Naples, FL) for A• W••••• M••••••••• L•• on the same day
Dec 31, 2022 · Team lift-out · derived
K•••• F• R••••••• left M•••••• A••••• S••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-06-07)
Nov 30, 2022 · advisor f••• change · fact
P••• L••• D••••••••• left M•••••• A••••• S••••••••• L•• for K•••••• I••••••••• M••••••••• I••• (registered 2022-12-02)
Nov 29, 2022 · advisor f••• change · fact
2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Bloomfield Hills, MI) for M•••••• A••••• S••••••••• L•• on the same day
Jul 21, 2022 · Team lift-out · derived
J••••• J•••• G•••••• left M•••••• A••••• S••••••••• L•• for G•••••• F•••••••• L•• (registered 2022-06-03)
Jul 6, 2022 · advisor f••• change · fact
M•••••• A••••• S••••••••• L•• reported RAUM $1.8B, up 30% from $1.4B (2021-03-30 to 2022-03-14)
Mar 14, 2022 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

M•••••• A••••• S••••••••• I••• · Private Equity
shared crd · intermediary
M•••••• A••••• S••••••••• · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

f••• profile url: linkedin.com/company/madison-avenue-securitiesreportedpublic record, Form ADV, Sep 18, 2026
f••• website: w••.m•••••.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 888-627-7323reportedpublic record, Form ADV, Sep 3, 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: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $20.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026