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••••••• S••••••••• L••

Asset manager (funds and pooled vehicles)Sarasota, FloridaCRD 285309SEC 801-108517websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Oct 6, 2016 · 40 filings
SEC status approved since Oct 18, 2016
RAUM
$389M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.7%
$2.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$389M as of Mar 31, 2026
Mar 29, 2017$0 then
HNW client RAUM$1.2M as of Mar 31, 2026
Feb 20, 2019$0 then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 29, 20172 then
Employees (5.A)7 as of Mar 31, 2026
Mar 29, 20172 then
Private funds: no history
RAUM +32% over the last fiscal year+406% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
RAUM per advisor
$130MderivedRAUM 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
$161,741derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+32%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, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Financial planning clients
2,500reportedItem 5.H
Wrap fee program
$5.1MreportedItem 5.I
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$386M99%
  • Individuals$1.3M0.3%
  • High-net-worth individuals$1.2M0.3%
Individual clients
1,403reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,403reported
Financial planning clients
2,500reported
Wrap fee programs
$2.5M sponsored, $2.5M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• N••••• D••••••Chartered Financial AnalystSarasota, FlAug 19, 202631 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• P••••••• B•••• · Managing Membercontrol
    since 06/2016 · owns less than 5%
  • D••••••• P••••••• B•••• · Ownercontrol
    since 11/2017 · owns 25% to 50% of V•••••• H•••••••• L••
  • D••••••• S•••••• K•••••• · Ownercontrol
    since 11/2017 · owns 25% to 50% of V•••••• H•••••••• L••
  • H••••• M•••••••• R••••• · Ownercontrol
    since 11/2017 · owns 25% to 50% of V•••••• H•••••••• L••
  • S••••••••• G•••• J••••• · Chief Compliance Officer
    since 09/2021 · owns less than 5%
Entity owners
  • M•••••••• I••• · Owner
    direct · owns 75% or more
  • V•••••• H•••••••• L•• · Owner
    indirect · owns 75% or more of M•••••••• I•••
Related persons
Schedule D 7.A
Advisers that list M••••••• S••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Sarasota, Fl · principal310
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
  • wealth to institutional shiftCombination · filing Mar 31, 2026
    peers: asset managers, $100M to $500M (1,567)
  • client mix shiftChange between filings · filing Mar 31, 2026
    private-client share of RAUM moved from 100.0% to 1.0% between the annual amendments of 2025-03-28 and 2026-03-31
    peers: asset managers, $100M to $500M (1,567)
  • HNW share shiftChange between filings · filing Mar 31, 2026
    HNW share of RAUM moved from 61.0% to 0.0% between the annual amendments of 2025-03-28 and 2026-03-31
    peers: asset managers, $100M to $500M (1,567)
  • institutional asset share shiftChange between filings · filing Mar 31, 2026
    institutional share of RAUM moved from 0.0% to 99.0% between the annual amendments of 2025-03-28 and 2026-03-31
    peers: asset managers, $100M to $500M (1,567)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 1,948 to 2,403
    Jul 9, 2025 to Mar 31, 2026
  • HNW clients · 183.0 to unset
    Jul 9, 2025 to Mar 31, 2026
  • Individual clients · 1,286 to 1,403
    Jul 9, 2025 to Mar 31, 2026
  • Employees · 6 to 7
    Jul 9, 2025 to Mar 31, 2026
  • Discretionary RAUM · $295M to $389M
    Jul 9, 2025 to Mar 31, 2026
  • HNW RAUM · $179M to $1.2M
    Jul 9, 2025 to Mar 31, 2026
  • Individual RAUM · $116M to $1.3M
    Jul 9, 2025 to Mar 31, 2026
  • RAUM · $295M to $389M
    Jul 9, 2025 to Mar 31, 2026
  • Wrap assets (manager) · $3.0M to $2.5M
    Jul 9, 2025 to Mar 31, 2026
  • Wrap assets (sponsor) · $3.0M to $2.5M
    Jul 9, 2025 to Mar 31, 2026
  • Financial planning clients · More than 500 to More than 500
    Mar 28, 2025 to Jul 9, 2025
  • Accounts · 386 to 1,948
    Dec 11, 2024 to Mar 28, 2025
  • HNW clients · 0 to 183
    Dec 11, 2024 to Mar 28, 2025
  • Individual clients · 386 to 1,286
    Dec 11, 2024 to Mar 28, 2025
  • Employees · 4 to 6
    Dec 11, 2024 to Mar 28, 2025
  • Discretionary RAUM · $0 to $295M
    Dec 11, 2024 to Mar 28, 2025
  • HNW RAUM · $0 to $179M
    Dec 11, 2024 to Mar 28, 2025
  • Individual RAUM · $146,815 to $116M
    Dec 11, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · $146,815 to $0
    Dec 11, 2024 to Mar 28, 2025
  • RAUM · $146,815 to $295M
    Dec 11, 2024 to Mar 28, 2025
  • Accounts · 5,551 to 386
    Oct 4, 2023 to Mar 27, 2024
  • Business name · M••••••• S••••••••• to M••••••• S••••••••• L••
    Oct 4, 2023 to Mar 27, 2024
  • Individual clients · 5,551 to 386
    Oct 4, 2023 to Mar 27, 2024
  • Employees · 8 to 4
    Oct 4, 2023 to Mar 27, 2024
  • Insurance-licensed employees · 3 to 0
    Oct 4, 2023 to Mar 27, 2024
  • Financial planning clients · 0 to More than 500
    Oct 4, 2023 to Mar 27, 2024
  • Legal name · V•••••• S••••••••• L•• to M••••••• S••••••••• L••
    Oct 4, 2023 to Mar 27, 2024
  • Discretionary RAUM · $3.0M to $0
    Oct 4, 2023 to Mar 27, 2024
  • Individual RAUM · $3.0M to $146,815
    Oct 4, 2023 to Mar 27, 2024
  • Non-discretionary RAUM · $0 to $146,815
    Oct 4, 2023 to Mar 27, 2024
  • RAUM · $3.0M to $146,815
    Oct 4, 2023 to Mar 27, 2024
  • Accounts · 2,778 to 5,551
    Jan 20, 2023 to Feb 1, 2023
  • BD registered reps · 1 to 0
    Jan 20, 2023 to Feb 1, 2023
  • Individual clients · 2,778 to 5,551
    Jan 20, 2023 to Feb 1, 2023
  • Employees · 3 to 8
    Jan 20, 2023 to Feb 1, 2023
  • Discretionary RAUM · $2.5M to $3.0M
    Jan 20, 2023 to Feb 1, 2023
  • Individual RAUM · $2.5M to $3.0M
    Jan 20, 2023 to Feb 1, 2023
  • RAUM · $2.5M to $3.0M
    Jan 20, 2023 to Feb 1, 2023
  • Wrap assets (manager) · $2.5M to $3.0M
    Jan 20, 2023 to Feb 1, 2023
  • Wrap assets (sponsor) · $2.5M to $3.0M
    Jan 20, 2023 to Feb 1, 2023
Signals
5 dated events
  • J••••• B••••• (Cto And Member) no longer on Schedule A of M••••••• S••••••••• L•• (listed 2024-11-20, absent 2024-12-11)
    Dec 11, 2024 · Control person left · inference
  • Stuart Kenneth Dickson no longer registered at M••••••• S••••••••• L••; no later IA registration on IAPD
    Feb 13, 2023 · Advisor departure · fact
  • G•••••• I•••• K••••••• left M••••••• S••••••••• L•• for H• M••••• I••• (registered 2022-02-08)
    Feb 3, 2022 · Advisor changed firm · fact
  • S••••• W••••••••• left M••••••• S••••••••• L•• for F••••• W••••• M••••••••• L•• (registered 2023-02-01)
    Feb 3, 2022 · Advisor changed firm · fact
  • V•••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 6, 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.
How to reach
public business contact points only, each with its source
Website
m•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(941) 925-2121reportedpublic record, Form ADV, Mar 31, 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
Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor
$130Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026