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•••• A•••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Oct 13, 2016 · 19 filings
SEC status approved since Oct 24, 2016
RAUM
$534M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$466M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$534M as of Mar 31, 2026
Jan 11, 2017$309M then
HNW client RAUM$413M as of Mar 31, 2026
Mar 29, 2018$275M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 11, 20170 then
Employees (5.A)6 as of Mar 31, 2026
Jan 11, 20178 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$413M77%
- Charitable organizations$64.8M12%
- Individuals$53.2M10.0%
- Corporations and businesses$3.2M0.6%
- Individual clients
- 36reported
- HNW clients
- 144reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 287reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• L•••••• K••• · Vice Presidentcontrolsince 01/2017 · owns 5% to 10%
- M••••••••• I••• A••••• · Chief Compliance Officer & Executive Vice Presidentcontrolsince 03/2017 · owns 10% to 25%
- M••••• R•••••• B•••••• · Presidentcontrolsince 09/2016 · owns 10% to 25%
- M••••• S••••• C••••••• · Ownercontrolsince 05/2021 · owns 50% to 75%
- W•••• J•••• H• · Vice President & Treasururcontrolsince 01/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
- P•••••• C•••••• A•••• M••••••••• L••investment adviseryRAUM $13.0M
- W••• S••••• M••••••••• C•••••••••investment advisery
Advisers that list M•••• A•••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 278 to 287Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 6 to 7Mar 31, 2025 to Mar 31, 2026
- HNW clients · 108 to 144Mar 31, 2025 to Mar 31, 2026
- Individual clients · 58 to 36Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $472M to $534MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $370M to $413MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $12.5M to $53.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $472M to $534MMar 31, 2025 to Mar 31, 2026
- Accounts · 260 to 278Jul 11, 2024 to Mar 31, 2025
- Advisory employees · 4 to 5Jul 11, 2024 to Mar 31, 2025
- Charity clients · 12 to 11Jul 11, 2024 to Mar 31, 2025
- Corporate clients · 5 to 6Jul 11, 2024 to Mar 31, 2025
- HNW clients · 64 to 108Jul 11, 2024 to Mar 31, 2025
- Individual clients · 92 to 58Jul 11, 2024 to Mar 31, 2025
- Employees · 5 to 6Jul 11, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jul 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $409M to $472MJul 11, 2024 to Mar 31, 2025
- HNW RAUM · $258M to $370MJul 11, 2024 to Mar 31, 2025
- Individual RAUM · $37.4M to $12.5MJul 11, 2024 to Mar 31, 2025
- RAUM · $409M to $472MJul 11, 2024 to Mar 31, 2025
- Accounts · 260 to 242Apr 1, 2024 to Jul 11, 2024
- Charity clients · 12 to 13Apr 1, 2024 to Jul 11, 2024
- Corporate clients · 5 to 4Apr 1, 2024 to Jul 11, 2024
- HNW clients · 64 to 69Apr 1, 2024 to Jul 11, 2024
- Individual clients · 92 to 89Apr 1, 2024 to Jul 11, 2024
- Discretionary RAUM · $409M to $532MApr 1, 2024 to Jul 11, 2024
- HNW RAUM · $258M to $365MApr 1, 2024 to Jul 11, 2024
- Individual RAUM · $37.4M to $27.9MApr 1, 2024 to Jul 11, 2024
- RAUM · $409M to $532MApr 1, 2024 to Jul 11, 2024
- Accounts · 242 to 260Jul 11, 2024 to Jul 11, 2024
- Charity clients · 13 to 12Jul 11, 2024 to Jul 11, 2024
- Corporate clients · 4 to 5Jul 11, 2024 to Jul 11, 2024
- HNW clients · 69 to 64Jul 11, 2024 to Jul 11, 2024
- Individual clients · 89 to 92Jul 11, 2024 to Jul 11, 2024
- Discretionary RAUM · $532M to $409MJul 11, 2024 to Jul 11, 2024
- HNW RAUM · $365M to $258MJul 11, 2024 to Jul 11, 2024
- Individual RAUM · $27.9M to $37.4MJul 11, 2024 to Jul 11, 2024
- RAUM · $532M to $409MJul 11, 2024 to Jul 11, 2024
- Accounts · 242 to 260Mar 31, 2023 to Apr 1, 2024
- Charity clients · 15 to 12Mar 31, 2023 to Apr 1, 2024
Signals
4 dated events
- M•••• A•••• M••••••••• I••• reported RAUM $532.2M, up 30% from $408.7M (2024-04-01 to 2024-07-11)Jul 11, 2024 · RAUM change · derived
- Cummings Sarah Morse (Owner) appeared on Schedule A of M•••• A•••• M••••••••• I•••Mar 31, 2023 · Control person joined · fact
- Parker Robert Morse (President) no longer on Schedule A of M•••• A•••• M••••••••• I••• (listed 2019-03-22, absent 2019-11-22)Nov 22, 2019 · Control person left · inference
- M•••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Oct 13, 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
- Business phone
- 646-568-4083reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-568-4083reportedpublic 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
- Independent wealth managerderiveda 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