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

3•• F•••••••• P•••••••• I•••

Former SEC-registered adviserCRD 283581SEC 801-107739IAPD
Latest filing Aug 5, 2016
First filing on the tape Apr 19, 2016 · 8 filings
RAUM
$667,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$667,000
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$667,000 as of Aug 5, 2016
Apr 19, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 5, 2016
Apr 19, 20161 then
Employees (5.A)1 as of Aug 5, 2016
Apr 19, 20161 then
Private funds: no history
Practice profile
derived from the filing of Aug 5, 2016; every figure names its basis
RAUM per advisor
$667,000derivedRAUM 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
$44,467derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••• C•••••• J••••••Walnut Creek, CaJul 18, 201727 y3
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• M•••••• C•••••• · Owner, Principal And Chief Compliance Officercontrol
      since 05/2016 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 3
      Aug 2, 2016 to Aug 5, 2016
    • Accounts · 0 to 15
      Jun 7, 2016 to Jul 14, 2016
    • Non-discretionary RAUM · $0 to $667,000
      Jun 7, 2016 to Jul 14, 2016
    • RAUM · $0 to $667,000
      Jun 7, 2016 to Jul 14, 2016
    • HQ city · PEMBROKE to unset
      Apr 21, 2016 to May 20, 2016
    • HQ state · MA to unset
      Apr 21, 2016 to May 20, 2016
    • Business name · M•• W•••••• L•• to 3•• F•••••••• P•••••••• I•••
      Apr 19, 2016 to Apr 21, 2016
    • Legal name · M•• W•••••• L•• to 3•• F•••••••• P•••••••• I•••
      Apr 19, 2016 to Apr 21, 2016
    Signals
    1 dated events
    • M•• W•••••• L•• filed its initial SEC registration (Form ADV)
      Apr 19, 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
    $667,000derivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026