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••••• O••••• A•••• M••••••••• L••
Latest filing Feb 6, 2019
First filing on the tape Jan 18, 2016 · 7 filings
RAUM
$2.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.5M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.5M as of Feb 6, 2019
Mar 13, 2017$3.8M then
HNW client RAUM$2.5M as of Feb 6, 2019
Mar 15, 2018$2.3M then
State-registered IARs (5.B.3)1 as of Feb 6, 2019
Mar 13, 20171 then
Employees (5.A)1 as of Feb 6, 2019
Mar 13, 20171 then
Private funds: no history
RAUM +0.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2019; every figure names its basis
- RAUM per advisor
- $2.5MderivedRAUM 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
- $836,173derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5M98%
- Individuals$40,9871.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
- A••• J••••••• M••••• to C••••••• A•••• M••••••••• L••Dec 23, 2019 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• A•••• J••••••• · Chief Compliance Officer And Managing Membercontrolsince 10/2015 · owns 75% or more
Related persons
Schedule D 7.A
- C••••••• A•••• M••••••••• L••investment advisernRAUM $7.2M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.5M to $2.5MMar 15, 2018 to Feb 6, 2019
- HNW RAUM · $2.3M to $2.5MMar 15, 2018 to Feb 6, 2019
- Individual RAUM · $193,895 to $40,987Mar 15, 2018 to Feb 6, 2019
- RAUM · $2.5M to $2.5MMar 15, 2018 to Feb 6, 2019
- Accounts · 4 to 3Mar 13, 2017 to Mar 15, 2018
- Charity clients · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- Corporate clients · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- Pension plan clients · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- Pooled vehicle clients · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- Insurance-licensed employees · 0 to 1Mar 13, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- Discretionary RAUM · $3.8M to $2.5MMar 13, 2017 to Mar 15, 2018
- HNW RAUM · unset to 2302798.0Mar 13, 2017 to Mar 15, 2018
- Individual RAUM · unset to 193895.0Mar 13, 2017 to Mar 15, 2018
- Pension RAUM · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 13, 2017 to Mar 15, 2018
- RAUM · $3.8M to $2.5MMar 13, 2017 to Mar 15, 2018
- Related adviser · false to trueMar 13, 2017 to Mar 15, 2018
- Accounts · 0 to 4Sep 2, 2016 to Mar 13, 2017
- Advisory activities · 3 to 5Sep 2, 2016 to Mar 13, 2017
- Employees · 2 to 1Sep 2, 2016 to Mar 13, 2017
- Financial planning clients · unset to 0Sep 2, 2016 to Mar 13, 2017
- Discretionary RAUM · $0 to $3.8MSep 2, 2016 to Mar 13, 2017
- RAUM · $0 to $3.8MSep 2, 2016 to Mar 13, 2017
Signals
1 dated events
- M••••• O••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 18, 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