DFX Intelligence
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SEC-registered adviser
M•••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2021 · 9 filings
SEC status approved since Jul 28, 2021
RAUM
$174M
reported, Item 5.F
Discretionary
0.9%
of RAUM
Private clients
62%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$174M as of Mar 31, 2026
Mar 30, 2022$141M then
HNW client RAUM$109M as of Mar 31, 2026
Mar 30, 2022$121M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20224 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20224 then
Private funds8 as of Mar 31, 2026
Mar 30, 20221 then
RAUM -5.7% over the last fiscal year+3.4% 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- 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
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $177,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.9%derivedof RAUM
- Institutional
- 11%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
- -5.7%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $159MreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- 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$109M62%
- Pooled investment vehicles$45.7M26%
- Charitable organizations$19.8M11%
- Individual clients
- n/areported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 981reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.62 fund_share=0.26 institutional_share=0.11 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• F•••• M••• P••••• F••• L• | Private Equity Fund | $14.8M | 37 | Jun 22, 2023 |
| M•••• P•••••• S••••••••• I•••••••• F••• L• | Hedge Fund | $759,734 | 2 | Jun 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• R•••••• L••••• · Membercontrolsince 10/2017 · owns 25% to 50%
- C•••••• D••••• G••••• · Managing Member, Chief Compliance Officer And Chief Executive Officercontrolsince 10/2017 · owns 50% to 75%
- F••••• J•••• P•••• · Membersince 10/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
- M•••• 3•• V•••• G• L•pooled vehicle sponsory
- M•••• 3•• V•••• G• L•pooled vehicle sponsory
- M•••• F•••• M••• P••••• F••• G• L••pooled vehicle sponsory
- M•••• N•• G•• 1•• P••••••• P••• E••••• G• L•pooled vehicle sponsory
- M•••• P•••••• S••••••••• I•••••••• F••• G• L••investment adviserpooled vehicle sponsory
- M•••• X•••••••• F••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 79.0% to 62.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 911 to 981Mar 31, 2025 to Mar 31, 2026
- HNW clients · 74 to 43Mar 31, 2025 to Mar 31, 2026
- Individual clients · 5.0 to unsetMar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 8Mar 31, 2025 to Mar 31, 2026
- Private funds · unset to 8Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.0M to $1.6MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $143M to $109MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · 3012428.0 to unsetMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $182M to $173MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.6M to $45.7MMar 31, 2025 to Mar 31, 2026
- RAUM · $185M to $174MMar 31, 2025 to Mar 31, 2026
- Related adviser · true to falseMar 31, 2025 to Mar 31, 2026
- Accounts · 817 to 911Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 3 to 1Mar 29, 2024 to Mar 31, 2025
- Charity clients · 1.0 to unsetMar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 3Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Private funds · 2 to unsetMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.9M to $3.0MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $110M to $143MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $511,058 to $3.0MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $161M to $182MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $36.0M to $6.6MMar 29, 2024 to Mar 31, 2025
- RAUM · $165M to $185MMar 29, 2024 to Mar 31, 2025
- Accounts · 640 to 817Jun 22, 2023 to Mar 29, 2024
- HNW clients · 67 to 74Jun 22, 2023 to Mar 29, 2024
- Individual clients · 4 to 5Jun 22, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 5Jun 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $11.2M to $3.9MJun 22, 2023 to Mar 29, 2024
- HNW RAUM · $132M to $110MJun 22, 2023 to Mar 29, 2024
- Individual RAUM · $487,886 to $511,058Jun 22, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $147M to $161MJun 22, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $5.5M to $36.0MJun 22, 2023 to Mar 29, 2024
- RAUM · $158M to $165MJun 22, 2023 to Mar 29, 2024
- Private funds · 1 to 2Mar 31, 2023 to Jun 22, 2023
- Accounts · 661 to 640Mar 30, 2022 to Mar 31, 2023
- Advisory activities · 3 to 4Mar 30, 2022 to Mar 31, 2023
- Charity clients · unset to 1.0Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 6.0Mar 30, 2022 to Mar 31, 2023
- State-registered IARs · 4 to 0Mar 30, 2022 to Mar 31, 2023
Signals
1 dated events
- ••• LockedJun 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M•••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M••••.COMreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- (512) 673-8292reportedpublic 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