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

M•••••• F•••• A•••••••

Former SEC-registered adviserDallas, TexasCRD 289935SEC 801-111759IAPD
Legal name M•••••• I••••••••• A••••••• L••
Latest filing Jun 4, 2020
First filing on the tape Aug 28, 2017 · 9 filings
RAUM
$17.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$17.1M as of Mar 6, 2020
Mar 28, 2018$13.5M then
HNW client RAUM$0 as of Mar 6, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 6, 2020
Mar 28, 20181 then
Employees (5.A)3 as of Mar 6, 2020
Mar 28, 20183 then
Private funds: no history
RAUM -4.2% over the last fiscal yearIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jun 4, 2020; every figure names its basis
RAUM per advisor
$17.1MderivedRAUM 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
$17.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.2%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$17.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••••• S•••••• M•••• · Ccocontrol
      since 08/2017 · owns 10% to 25%
    • G•••••• J••••••• J•••• · Ceocontrol
      since 08/2017 · owns less than 5%
    • Y••••• M••••••• A•••• · President, Coocontrol
      since 08/2017 · owns less than 5%
    • G•••••• J••••••• J•••• · Managing Membercontrol
      since 08/2017 · owns 50% to 75% of S••••• P••••••• • W••••• L••
    • G•••••• J••••••• J•••• · Presidentcontrol
      since 06/2007 · owns 75% or more of C••••••••• W••••• I•••
    • P••• L••••• M••••••• · Managing Membercontrol
      since 02/2015 · owns 25% to 50% of I••••••••• A••••••• N••••••• L••
    • Y••••• M••••••• A•••• · Managing Membercontrol
      since 08/2017 · owns 50% to 75% of S••••• P••••••• • W••••• L••
    • Y••••• M••••••• A•••• · Managing Membercontrol
      since 02/2015 · owns 25% to 50% of I••••••••• A••••••• N••••••• L••
    • P••• L••••• M••••••• · Member
      since 08/2017 · owns 5% to 10%
    Entity owners
    • S••••• P••••••• • W••••• L•• · Managing Member
      direct · owns 75% or more
    • C••••••••• W••••• I••• · Owner
      indirect · owns 25% to 50% of I••••••••• A••••••• N••••••• L••
    • I••••••••• A••••••• N••••••• L•• · Member
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · 1 to 0
      Mar 20, 2019 to Mar 6, 2020
    • Discretionary RAUM · $17.8M to $17.1M
      Mar 20, 2019 to Mar 6, 2020
    • RAUM · $17.8M to $17.1M
      Mar 20, 2019 to Mar 6, 2020
    • Discretionary RAUM · $13.5M to $17.8M
      May 24, 2018 to Mar 20, 2019
    • RAUM · $13.5M to $17.8M
      May 24, 2018 to Mar 20, 2019
    • Discretionary RAUM · $12.6M to $13.5M
      Jan 9, 2018 to Mar 28, 2018
    • RAUM · $12.6M to $13.5M
      Jan 9, 2018 to Mar 28, 2018
    • Accounts · 0 to 1
      Sep 14, 2017 to Jan 9, 2018
    • Charity clients · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Corporate clients · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • HNW clients · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Individual clients · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Pension plan clients · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Pooled vehicle clients · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Other offices · unset to 1.0
      Sep 14, 2017 to Jan 9, 2018
    • Discretionary RAUM · $0 to $12.6M
      Sep 14, 2017 to Jan 9, 2018
    • HNW RAUM · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Individual RAUM · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Pension RAUM · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Sep 14, 2017 to Jan 9, 2018
    • RAUM · $0 to $12.6M
      Sep 14, 2017 to Jan 9, 2018
    • Business name · M•••••• I••••••••• A••••••• L•• to M•••••• F•••• A•••••••
      Aug 28, 2017 to Sep 7, 2017
    Signals
    1 dated events
    • M•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 28, 2017 · 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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026