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•••••• I••••••••• A••••••• L••
Latest filing Dec 27, 2016
First filing on the tape Dec 3, 2015 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
72
72 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$45.2M as of Oct 6, 2016
Dec 3, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)72 as of Dec 27, 2016
Dec 3, 20150 then
Employees (5.A)72 as of Dec 27, 2016
Dec 3, 20150 then
Private funds: no history
Practice profile
derived from the filing of Dec 27, 2016; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.3derived31 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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
- 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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••••• L••••• J•••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- G••• P••• N•••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- E••• A•••••••• D••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- D•••• F•••••• L••••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- P•••• J•• F•••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- B•••• P•••••• C••••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- M••• J•••• M••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- W•••••• R•••••• W•••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- C•••••• W•••••• H••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- W•••••• S•••• P••••• to V••••••••• A••••••• S•••••••Dec 31, 2016 · Other
- J••••• R••••• M••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- J••••• R•••••• M••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- J•••••• P•••••• R•••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- A•• L• D••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
- E•••• A••••• B••••• to B•• P•••••••• I•••Dec 31, 2016 · Other
Joined, latest
- M•••••• J••••• F•••••••• from C•••••••• F•••••••• G•••• A•••••••May 31, 2016 · Other
- J•••••• P•••••• R•••••• from M•••••• S••••••••• A•••• M••••••••• L••May 24, 2016 · Other
- C••••••••• B•••• P••••• from R•• C•••••• M••••••• L••May 20, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• T••••• W•••••• from R•• C•••••• M••••••• L••May 20, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• L••••• M•••• from N••••••••• M••••• I••••••••• S•••••••••May 19, 2016 · Other
- D•••••• F•••••• C••••• from M•••••• S••••••••• A•••• M••••••••• L••May 10, 2016 · Other
- P••• K••• S••••••••• from M•••••• S••••••••• A•••• M••••••••• L••May 5, 2016 · Other
- P•••• J•• F•••••• from M•••••• S••••••••• A•••• M••••••••• L••Apr 11, 2016 · Other
- W•••••• R•••••• W•••• from M•••••• S••••••••• A•••• M••••••••• L••Apr 4, 2016 · Other
- A••••• L••••• J•••••• from M•••••• S••••••••• A•••• M••••••••• L••Mar 17, 2016 · Other
- G••• P••• N•••• from M•••••• S••••••••• A•••• M••••••••• L••Mar 17, 2016 · Other
- E••• A•••••••• D••••• from M•••••• S••••••••• A•••• M••••••••• L••Mar 17, 2016 · Other
- D•••• F•••••• L••••••• from M•••••• S••••••••• A•••• M••••••••• L••Mar 17, 2016 · Other
- B•••• P•••••• C••••••• from M•••••• S••••••••• A•••• M••••••••• L••Mar 17, 2016 · Other
- M••• J•••• M••••• from M•••••• S••••••••• A•••• M••••••••• L••Mar 17, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 19 left for B•• P•••••••• I•••Dec 31, 2016 · Manchester, Mo
- 22 left for M•••••• S••••••••• A•••• M••••••••• L••Dec 26, 2016 · Manchester, Mo · Firm absorbed
- 2 joined from M•••••• S••••••••• A•••• M••••••••• L••Dec 5, 2025 · Denver, Co
- 15 joined from M•••••• S••••••••• A•••• M••••••••• L••Dec 5, 2025 · Manchester, Mo
- 2 joined from R•• C•••••• M••••••• L••Jun 2, 2016 · G••••Wood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J••••••• P•••••• · Vice President & Compliance Officercontrolsince 05/2016 · owns less than 5%
- W•••••••• C•••••••• A••• · Chief Compliance Officer & Counselcontrolsince 07/2015 · owns less than 5%
- M••••••• S••••• R••• · Trusteecontrolsince 07/2014 · owns F of E••• M•••••• M•••••• T•••• U•••• 9••••••
Entity owners
- B•••• G•••• H•••••••• I••• · Managing Memberdirect · owns 75% or more
- E••• M•••••• M•••••• T•••• U•••• 9•••••• · Shareholderindirect · owns 50% to 75% of B•••• G•••• H•••••••• I•••
Related persons
Schedule D 7.A
- M•••••• S••••••••• A•••• M••••••••• L••investment advisernRAUM $1.4B
- M•••••• S••••••••• C••• I•••broker-dealernRAUM $258M
Offices
Schedule D 1.F, the 25 largest
- Bellingham, WA
- Carlinville, IL
- Chesterfield, MO
- Cold Spring, MN
- Columbia, MO
- Denver, CO
- Englewood, FL
- Epping, NH
- Estes Park, CO
- Gig Harbor, WA
- G••••Ville, IL
- Irvine, CA
- Kansas City, MO
- Kansas City, MO
- Kerrville, TX
- Lincoln, IL
- Mesa, AZ
- Mount Prospect, IL
- Mount Vernon, IL
- Myrtle Beach, SC
- Northbrook, IL
- Overland Park, KS
- Post Falls, ID
- Redwood Falls, MN
- Spicer, MN
What changed
consecutive filings, newest first
- Accounts · 215.0 to unsetOct 6, 2016 to Oct 24, 2016
- Discretionary RAUM · 45162521.0 to unsetOct 6, 2016 to Oct 24, 2016
- Non-discretionary RAUM · 0.0 to unsetOct 6, 2016 to Oct 24, 2016
- RAUM · 45162521.0 to unsetOct 6, 2016 to Oct 24, 2016
- Accounts · 0 to 215May 27, 2016 to Aug 25, 2016
- Advisory employees · 0 to 72May 27, 2016 to Aug 25, 2016
- BD registered reps · 0 to 72May 27, 2016 to Aug 25, 2016
- Employees · 0 to 72May 27, 2016 to Aug 25, 2016
- Insurance-licensed employees · 0 to 72May 27, 2016 to Aug 25, 2016
- State-registered IARs · 0 to 72May 27, 2016 to Aug 25, 2016
- Discretionary RAUM · $0 to $45.2MMay 27, 2016 to Aug 25, 2016
- RAUM · $0 to $45.2MMay 27, 2016 to Aug 25, 2016
Signals
3 dated events
- 15 advisors left M•••••• S••••••••• A•••• M••••••••• L•• (Manchester, MO) for M•••••• I••••••••• A••••••• L•• on the same dayDec 5, 2025 · Team lift-out · derived
- 2 advisors left M•••••• S••••••••• A•••• M••••••••• L•• (Denver, CO) for M•••••• I••••••••• A••••••• L•• on the same dayDec 5, 2025 · Team lift-out · derived
- M•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Dec 3, 2015 · 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