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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SEC-registered adviser
M••••••• W••••• A•••••••
Legal name M••••••• • A••••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Jun 28, 2021 · 15 filings
SEC status approved since Aug 25, 2021
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.0M
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$141M as of Mar 4, 2026
Jan 20, 2022$116M then
HNW client RAUM$27.1M as of Mar 4, 2026
Jan 20, 2022$15.9M then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Jan 20, 20223 then
Employees (5.A)11 as of Mar 4, 2026
Jan 20, 20223 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $47.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $147,404derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $282MreportedItem 5.I
- Custody
- $4.0M, 26 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$113M80%
- High-net-worth individuals$27.1M19%
- Pension and profit-sharing plans$531,8090.4%
- Individual clients
- 431reported
- HNW clients
- 15reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 957reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $141M sponsored, $141M managedreported
- Custody of client assets
- $4.0M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A••• M••••••• | Louisville, Ky | Jan 23, 2017 | 34 y | 6 |
| T••• W•••• B••••• | Louisville, Ky | Feb 7, 2017 | 12 y | 1 |
| A••••• R••• S•••••••• | Louisville, Ky | May 1, 2024 | 13 y | 1 |
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
- A••••• J•••• V••••• S•••••••• to A••••••••• F•••••••• S•••••••• L••Mar 22, 2022 · RIA to affiliated broker-dealer or bank
- A•••• K•••• U••••• to U••••• A••••••• A••••••May 4, 2018 · RIA to RIA
- R•••••• S•••• W••••• to A••••••• C•••••• M••••••••• I•••May 26, 2017 · RIA to a state-registered adviser
Joined, latest
- A••••• R••• S•••••••• from E••••• J••••May 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- A•••• K•••• U••••• from I••••••••• P••••••••• I•••Nov 2, 2017 · Other
- T••• W•••• B••••• from G••••• F•••••••• P•••••• C••••••• I•••Feb 7, 2017 · Other
- D••••• A••• M••••••• from G••••• F•••••••• P•••••• C••••••• I•••Jan 23, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••• W•••• · Presidentcontrolsince 11/2023 · owns 5% to 10%
- M•••••••• D•••••• A••• · Ceo & Chief Compliance Officercontrolsince 04/2000 · owns 75% or more
Related persons
Schedule D 7.A
- M••••••• I•••••••• S•••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 4, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-21, yes on the filing of 2026-03-04peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 4, 2026HNW share of RAUM moved from 0.0% to 19.0% between the annual amendments of 2025-03-21 and 2026-03-04peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 942 to 957Mar 21, 2025 to Mar 4, 2026
- HNW clients · 0 to 15Mar 21, 2025 to Mar 4, 2026
- Individual clients · 411 to 431Mar 21, 2025 to Mar 4, 2026
- Assets in custody · unset to 4034010.0Mar 21, 2025 to Mar 4, 2026
- Custody of client assets · false to trueMar 21, 2025 to Mar 4, 2026
- Employees · 10 to 11Mar 21, 2025 to Mar 4, 2026
- Financial planning clients · 1-10 to 26-50Mar 21, 2025 to Mar 4, 2026
- Discretionary RAUM · $118M to $141MMar 21, 2025 to Mar 4, 2026
- HNW RAUM · $0 to $27.1MMar 21, 2025 to Mar 4, 2026
- Individual RAUM · $123M to $113MMar 21, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $5.1M to $0Mar 21, 2025 to Mar 4, 2026
- Pension RAUM · $557,567 to $531,809Mar 21, 2025 to Mar 4, 2026
- RAUM · $123M to $141MMar 21, 2025 to Mar 4, 2026
- Wrap assets (manager) · $0 to $141MMar 21, 2025 to Mar 4, 2026
- Wrap assets (sponsor) · $118M to $141MMar 21, 2025 to Mar 4, 2026
- Accounts · 913 to 942Mar 22, 2024 to Mar 21, 2025
- Advisory employees · 2 to 3Mar 22, 2024 to Mar 21, 2025
- Individual clients · 413 to 411Mar 22, 2024 to Mar 21, 2025
- Pension plan clients · 9 to 14Mar 22, 2024 to Mar 21, 2025
- Employees · 8 to 10Mar 22, 2024 to Mar 21, 2025
- Financial planning clients · 26-50 to 1-10Mar 22, 2024 to Mar 21, 2025
- State-registered IARs · 2 to 3Mar 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $97.2M to $118MMar 22, 2024 to Mar 21, 2025
- Individual RAUM · $104M to $123MMar 22, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $7.9M to $5.1MMar 22, 2024 to Mar 21, 2025
- Pension RAUM · $620,730 to $557,567Mar 22, 2024 to Mar 21, 2025
- RAUM · $105M to $123MMar 22, 2024 to Mar 21, 2025
- Wrap assets (sponsor) · $102M to $118MMar 22, 2024 to Mar 21, 2025
- Accounts · 803 to 913Sep 7, 2023 to Mar 22, 2024
- Individual clients · 386 to 413Sep 7, 2023 to Mar 22, 2024
- Pension plan clients · 12 to 9Sep 7, 2023 to Mar 22, 2024
- Employees · 6 to 8Sep 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $92.2M to $97.2MSep 7, 2023 to Mar 22, 2024
- Individual RAUM · $91.6M to $104MSep 7, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $0 to $7.9MSep 7, 2023 to Mar 22, 2024
- Pension RAUM · $560,016 to $620,730Sep 7, 2023 to Mar 22, 2024
- RAUM · $92.2M to $105MSep 7, 2023 to Mar 22, 2024
- Wrap assets (sponsor) · $0 to $102MSep 7, 2023 to Mar 22, 2024
- Accounts · 1,087 to 803Jul 28, 2022 to Mar 27, 2023
- HNW clients · 8 to 0Jul 28, 2022 to Mar 27, 2023
Signals
3 dated events
- Wayne Troy Bolton (President) appeared on Schedule A of M••••••• W••••• A•••••••Mar 22, 2024 · Control person joined · fact
- A••••• J•••• V••••• S•••••••• left M••••••• W••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-03-29)Mar 22, 2022 · Advisor changed firm · fact
- M••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jun 28, 2021 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/mercurio-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mwataxes.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (502) 253-9366reportedpublic record, Form ADV, Mar 4, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026